if a firm’s IPO allocatio policy disclose that it offers different levels of service for different fees, then it violate the code of standards? Thanks.
no. thats fine as long as you dont disadvantage other costumers.
IPO allocation policy is not really tht relevent when it comes to different levels of service though. everyone who is suitable should be filled pro rata. the different levels of service refers to time spent explaining and workign with clients after a recommendation has been made.
发表于 2013-4-2 11:48
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