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48. Adele is an investment advisor. She receives a request from a client to purchase 100,000 shares of Underground Music Corp (UMC) at $20 per
48.
Adele is an investment advisor. She receives a request from a client to purchase 100,000 shares of Underground Music Corp (UMC) at $20 per share. Adele is not familiar with UMC. Adele and her client have never talked about placing trading orders for securities that Adele herself has not recommended. Which ethical value would Adele be breaking if she places the order without researching UMC?
Disclosure | ||
Compliance | ||
Unsolicited orders | ||
Priority of the client's interest |
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