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- 303
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- 2011-5-24
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- 2012-9-12
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We are only lucky this question want us to confirm a "violation".
The analyst did not BUY this stock for any of these clients yet! she only marketed the stock. No investment action has been taken to warrant any issue of suitability, the question is about investment presentation whether all the facts (risk and return) have been adequately disclosed and well differentiated from opinion.
Non of the options appear correct in my opinion! I can't see any violation.
CP, Damil? |
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发表于 2011-7-13 14:02
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