问题如下:
Henny Rove, an advisor in an investment management firm. He has a client, Tiny, who has a large asset and can take higher risk. Tiny wants to invest in high-risk, high-yield financial products. Recently, Henny finds a bond which has a low-risk and low-yield and recommends to Tiny without thinking. Henny most likely:
选项:
A. violates the Standard on III(C) Suitability.
B. violates the Standard on I(C) Misrepresentation.
C. complies with the Code and Standards.
解释:
A is correct.
Before recommending to the clients, an advisor must analyze the investment's suitability for clients. In this case, Tiny wants to invest in high-risk, high-yield financial products, but Henny recommends the bond to him which has a low-risk and low-yield, this is a violation of the Standard III(C) Suitability.
推荐一下都不行?又没说真的要买