问题如下:
Due to significant market changes, Tom, a financial analyst, plans to revise his recommendation about stock A in investment report from “sell” to “buy”. Immediately, he emailed all his clients about this change. Then he made telephone calls to several VIP clients and discussed some detailed information about stock A. The next day, Mr.White found Tom to made a sell order of 1000 shares for stock A. Tom rejected the order as it is opposite to his recommendation. Under the Standard on Fair Dealing, which of Tom’s actions is not recommended?
选项:
A. Email all his client as soon as possible.
B. Reject the order of Mr. White.
C. Call VIP clients only and discuss more informations with them.
解释:
B is correct.
Standard III(B) Fair dealing suggests the firm to shorten the time between decision and distribution of information. “Fair” does not mean “equal”, therefore communication approach can be different among clients. Firm should disclose the different service levels to clients. When the clients make an opposite order that analyst suggested, analyst should ensure the client has received his suggest before placing the order. If the client insists previous opinion, then Tom should comply with Mr. White.
选项C应该也是错了吧