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- UID
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- 2011-5-25
- 最后登录
- 2012-9-12
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I think it's just saying that your primary reason for directing client brokerage must not be to receive referrals. Assuming you have a justified (ethical) basis - best execution costs for instance - the referrals benefit to you is secondary... and becomes acceptable assuming the relationship is disclosed to all clients and prospective clients.
That's my take anyway. |
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