Laws & Regulations第 11 / 100 题
Under NASAA model rules on custody, an investment adviser that has custody of client funds or securities generally must:
a.Maintain the assets with a qualified custodian and arrange for account statements to be sent to clients
b.Commingle client cash with the adviser's operating account for efficiency
c.Avoid any surprise examination by an independent accountant
d.Hold client securities in the adviser's personal safe deposit box
解析
NASAA custody rules require use of a qualified custodian and delivery of account statements to clients, often supplemented by a surprise examination. Commingling client and firm assets is prohibited. These safeguards protect clients against misappropriation.
法律依据: NASAA Model Rule免费刷完整 100 道题库 — 无需注册。
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