Question
If an Investment Advisor (IA) is under the jurisdiction of more than one SRO, whose rules should the IA follow? a.Those of the principal regulator.
If an Investment Advisor (IA) is under the jurisdiction of more than one SRO, whose rules should the IA follow?
a.Those of the principal regulator.
b.Those endorsed by the relevant securities commission.
c.The most recent rule.
d.The most stringent rule.
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Fundamentals Of Multinational Finance
Authors: Michael Moffett, Arthur Stonehill, David Eiteman
6th Edition
0134472136, 978-0134472133
