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A mutual fund representative misrepresents the risks associated with a particular mutual fund in order to encourage a conservative client to purchase it . How
A mutual fund representative misrepresents the risks associated with a particular mutual fund in order to encourage a conservative client to purchase it How is that representative violating the good Business Conduct that should be expected of them? Observing a high standard of ethics and conduct. Engaging in business conduct or practice that is unbecoming or detrimental to the public interest. Not dealing fairly, honestly and in good faith with clients. Having experience and training that is consistent with the standards acceptable to the industry.
A mutual fund representative misrepresents the risks associated with a particular mutual fund in order to encourage a conservative client to purchase it How is that representative violating the good Business Conduct that should be expected of them?
Observing a high standard of ethics and conduct.
Engaging in business conduct or practice that is unbecoming or detrimental to the public interest.
Not dealing fairly, honestly and in good faith with clients.
Having experience and training that is consistent with the standards acceptable to the industry.
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