问题如下:
Alex, an analyst of brokerage firm. When making a new recommendation, he called the institutional clients in the morning and called the individual clients in the afternoon. Which of the following statements is most likely correct?
选项:
A.He did not violate the standard.
B.He violated the Standard on Misconduct.
C.He violated the Standard on Fair Dealing.
解释:
C is correct.
According to Standard III(B) Fair Dealing, Alex should not discriminate against any clients. He should inform all his clients at the same time.
请问,如果投资经理的客户很多的话,投资经理是否可以先给机构类的VIP客户打电话,然后再给个人投资者打电话。因为电话通知的话,总是有个先后顺序。这样的行为,是否违反准则。如果违反的话,哪种程度的对客户差异化服务行为,是不违反准则的?