Ethical and Professional Standards

Which of the following is not mentioned as part of Standard III “Duties to Clients“?

A. diligence and reasonable basis
B. suitability
C. performance presentation

Which of the following is not mentioned as part of Standard III “Duties to Clients“?

A. loyalty, prudence, and care
B. suitability
C. misconduct

Which of the following statements best reflects the definition of Standard II(B), Integrity of Capital Markets, Market Manipulation?

A. members must not engage in practices that distort prices or in flate trading volume with the intent to mislead market partici pants
B. members must not engage in practices that inflate trading volu me with the intent to mislead market participants
C. members must not engage in practices that distort prices or arti ficially inflate trading volume

Which of the following is not mentioned as part of Standard I “Professionalism“?

A. misconduct
B. misrepresentation
C. market manipulation

Sonstiges

Neuigkeiten

Formalia

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