A client calls his money manager and asks the manager to liquidate a large portion of his assets under management for an emergency. The manager warns the client of the risk of selling many assets quickly but says that he will try to get the client the best possible price. This is a violation of:
A: Standard Ⅲ (C) , Suitability. B. Standard Ⅴ
B: , Communication with Clients and Prospective Clients.
C: none of the Standards listed here.
A: Standard Ⅲ (C) , Suitability. B. Standard Ⅴ
B: , Communication with Clients and Prospective Clients.
C: none of the Standards listed here.
举一反三
- The key ________ requires a level of sophistication in marketing and financial analysis not normally found in the sales force. A: accounting manager B: account manager C: marketing manager D: client manager
- Who is most likely Rachel Price A: An important client B: A retiring coworker C: A former manager D: A new employee
- Which one of the following clients is at the greatest risk for aspiration ？（） A: A stroke client with dysarthria. B: An ambulatory client with Alzheimer’s disease. C: A 92-year-old client who needs help with activities of daily living (ADLs). D: A client with severe, deforming rheumatoid arthritis.
- Please tick the right standard of the "Three Checks". A: Check before medication preparation for the clients B: Check after finishing medication preparation C: Check before administering medication to the client D: Check immediately after medication administration to the client E: Check 15 minutes after medication administration to the client
- The responsibility (of the manager) in (such a large) international enterprise is (far) greater than (his typist). A: of the manager B: such a large C: far D: his typist