Giao dịch, Tài khoản & Hành vi cấmCâu 291 / 398
A representative learns that a customer with an individual account has died. What is the appropriate immediate action?
a.Continue trading based on the customer's last instructions
b.Cancel open orders, freeze the account, and await proper legal documents before releasing assets
c.Immediately transfer all assets to the customer's spouse
d.Sell all positions to lock in gains
Giải thích
On learning of a customer's death, the firm should cancel open orders, mark the account deceased, and not permit further trading until it receives the required legal documents (such as letters testamentary or a death certificate) identifying who is entitled to the assets.
Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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