All of the following are NOT part of the ethical responsibilities related to the Code EXCEPT:
A) seeking best execution.
B) disclosing conflicts of interest.
C) communicating with clients in an accurate manner.作者: mp3bu 时间: 2011-7-13 14:57
C? I guess it is NOT accurate作者: NakedPuts00 时间: 2011-7-13 14:57
. The correct answer was C) communicating with clients in an accurate manner.
The ethical responsibilities related to the Code are:
Always act ethically and professionally;
Act in the best interest of the client;
Act in an objective and independent manner;
Communicate accurately with clients on a regular basis; and
Comply with all legal and regulatory requirements.
The other answer choices deal with specific sections of the Code and are not considered ethical responsibilities.
