Laws & Regulations第 28 / 100 题
NASAA's model rule on unethical business practices of investment advisers would consider which of the following a violation?
a.Disclosing all fees in the advisory contract
b.Borrowing money from a client who is not a lending institution or affiliate
c.Rebalancing per the client's stated policy
d.Providing the brochure before the contract
解析
Borrowing money or securities from a client is an unethical practice unless the client is in the business of lending, such as a bank, or is an affiliate. It creates a serious conflict of interest. Proper fee disclosure and policy-based rebalancing are appropriate conduct.
法律依据: NASAA Model Rule免费刷完整 100 道题库 — 无需注册。
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