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- 2013-10-21
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Ethics - Suitability vs. Diligence and Reasonable Basis
Help please!
I am getting confused with the two. If an investment adviser have no reasonable basis for recommending stock A and puts it in a client’s portfolio that doesn’t suit them.
Are they in violation of both IIIC) Suitability and VA) Diligence and Reasonable Basis?
Thanks. |
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发表于 2013-4-28 05:55
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