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刘同学2024-08-07 20:40:07

Hannah Hostettler, CFA, is a portfolio manager at a wealth management firm. Hostettler has an arrangement with a lawyer, whereby she refers clients who need legal advice to the lawyer, who in turn refers clients to Hostettler. Because no referral fees are involved, Hostettler does not disclose this arrangement to her existing or prospective clients. Has Hostettler most likely violated the Standards?A. No.B. Yes, only by failing to disclose the arrangement to existing clients.C. Yes, both by failing to disclose the arrangement to existing clients and to prospective clients.这道题应该选什么?

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最佳

Danyi2024-08-08 14:19:53

同学你好,
选C,必须向客户和潜在客户披露任何推荐费。

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