[单选题]

An analyst meets with a new client. During the meeting, the analyst sees that the new client's portfolio is heavily invested in one over-the-counter stock. The analyst has been following the stock and thinks it will perform well in the long run. The analyst arranges through a brokerage firm to simultaneously sell a large number of shares of the stock via a series of cross trades from the new client's portfolio to various existing clients. He arranges the trades to be executed at a price that approximates the current market price. This action is:

A.Not in violation of the Standards.

B.A violation of Standard III(A),Loyalty,Prudence,and Care.

C.A violation of Standard III(B),Fair Dealing.

参考答案与解析:

相关试题

R.J. Young is meeting with a new client for the first time. At this meeting, he will be gathering in

[单选题]R.J. Young is meeting with a new client for the first time. At this meeting

  • 查看答案
  • In determining the appropriate asset allocation for a client's investment account, the manager

    [单选题]In determining the appropriate asset allocation for a client's investment a

  • 查看答案
  • A financial advisor gathers the following information about a new client:<br />·The client is

    [单选题]A financial advisor gathers the following information about a new client:·T

  • 查看答案
  • Melvin Byrne, CFA, manages a portfolio for James Martin, a wealthy client. Martin's portfolio i

    [单选题]Melvin Byrne, CFA, manages a portfolio for James Martin, a wealthy client.

  • 查看答案
  • Sarah Johnson, a portfolio manager, is offered a bonus directly by a client if Johnson meets certain

    [单选题]Sarah Johnson, a portfolio manager, is offered a bonus directly by a client

  • 查看答案
  • Holly Baker, CFA is explaining the CFA Institute Code of Ethics to a client. Which of the following

    [单选题]Holly Baker, CFA is explaining the CFA Institute Code of Ethics to a client

  • 查看答案
  • What is the author's opinion of some New

    [单选题]What is the author's opinion of some New Yorkers from her experience7A.Easy-going.B.Self-centred.C.Generous.D.Conservative.

  • 查看答案
  • An analyst has tested LIFO and FIFO inventory method's impact to a company's ratio and gat

    [单选题]An analyst has tested LIFO and FIFO inventory method's impact to a company'

  • 查看答案
  • Would a client making additions or withdrawals of funds most likely affect their portfolio's:&l

    [单选题]Would a client making additions or withdrawals of funds most likely affect

  • 查看答案
  • An analyst gathered the following information from a company's financial statements ($ millions

    [单选题]An analyst gathered the following information from a company's financial st

  • 查看答案
  • An analyst meets with a new client. During the meeting, the analyst sees that the new client's