Quick Q on Ethics
With regards to Suitability, if the trade is not suitable for the client, does the investment manager need to get written consent from the client? The text (Vol 1 Page 60) just says manager needs to get “affirmative statement” from the client. Is this verbal or written please?作者: thecfawannabe 时间: 2013-4-1 13:51
you mean in nondiscretionary accounts?作者: thommo77 时间: 2013-4-1 13:51
