Business PracticesCâu 78 / 100
A customer emails an agent complaining that a trade was never authorized. The agent should:
a.Resolve it privately with the customer and say nothing to the firm
b.Delete the email since the matter is disputed
c.Promptly forward the written complaint to the firm so it can be reviewed, acted on, and preserved in the firm's records
d.Wait to see whether the customer follows up before reporting it
Giải thích
Written customer complaints must be routed promptly to the firm and retained, because the firm has supervisory and recordkeeping obligations and regulators may inspect complaint files. Handling a complaint privately or settling it without the firm's knowledge is itself an unethical practice. Destroying or delaying the record compounds the original problem.
Trích dẫn luật: NASAA Model RuleLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- An agent urges a client to buy a mutual fund now because 'the fund pays a big distribution next week and you'll pick up extra income.' This sales tactic is:
- A client intends to invest $48,000 in a mutual fund whose sales charge drops at a $50,000 breakpoint. The agent processes the order at $48,000 without mentioning the breakpoint. This is:
- An agent regularly advises clients to redeem shares of one mutual fund family and buy a similar fund in another family, generating a new front-end sales charge each time. Absent a documented benefit to the client, this is:
- A state-registered investment adviser takes custody of client securities. Under the NASAA custody rule, the adviser generally must:
- An investment adviser wants to charge a fee based on a share of the capital gains in a client's account. Under NASAA rules, such a performance-based fee is:
- An investment adviser directs client brokerage to a firm that provides research reports and also pays the adviser's office rent. Regarding these soft dollar arrangements, the adviser:
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