老师您好,code and standard和AMC有两道题的对比想请教一下:
1、AMC的Henry Schmidt case的第1小问
Ronoldo adds micro cap, foreign, and convertible preferred stock to the fund. Ronoldo plans to describe the new strategy in the company's next annual newsletter, due to be sent to client in three month.这违反了对客户的披露原则
2、code and standard的Jason Locke case 的第2小问
Clients were not informed because the position will be sold once market sentiment shifts.
两道题都是对投资标的做出了调整,Jason Locke case 的调整为什么C选项不对呢?如果是调整投资情况,不需要事先向客户披露么?
麻烦老师解答,谢谢!