NO.PZ201604030300004405
问题如下：
5. In the eighteen months following Brown’s change in financial situation, Klein is least likely to have violated the Standard relating to:
选项：
A.loyalty, prudence, and care.
B.diligence and reasonable basis.
C.communication with clients and prospective clients.
解释：
C is correct.
In the months following Brown’s change in financial status, Klein is least likely to violate Standard V(B) relating to communication with clients because he disclosed the basic format and other pertinent information regarding PlusAccounts and he distinguished between fact and opinions. During the time period, Klein does not make any new recommendations to Brown and thus is least likely to violate the Standard relating to Communication with Clients and Prospective Clients. During the period, Klein is in jeopardy of violating several other standards including those relating to Loyalty, Prudence, and Care; Suitability; and Diligence and Reasonable Basis. Because of the fee structure, PlusAccount status is not suitable for a client who trades infrequently. Klein neglects his duty of loyalty, prudence, and care by maintaining the PlusAccount Status for more than one year after Brown’s change in trading activity. A diligent review of the account would indicate whether a client has a reasonable basis for maintaining PlusAccount status. Thus, Klein is most likely to violate Standards III(A), III(C), and V (A) during the period in question.
助教说只要只要违反第三条准则中的任意一条，都会违反III(A)，所以本题violate III(A):Loyalty, prudence and care。不记得何老师上课有过这种说法啊？只要违反任意一条准则中的某一条，就同时违反了这条准则的A条？这种理解方式是对的吗？
