NO.PZ2018062009000011
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.
根据准则III(B),Alex不可以歧视任何客户,应当同时通知他的所有客户。
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