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please please help I will rate definately rate. All questions pls. g their 6. Preservation of capitalisgenerally of greatest importance to investors during th a)
please please help I will rate definately rate. All questions pls.
g their 6. Preservation of capitalisgenerally of greatest importance to investors during th a) mid-caming years b) early earning years c) retirement years d) peak carning years chat sing the table provided (se Appendix A), indicate the letter representing the nule a) The lA shall not in any act that is in violation of sppicahe applies for each of the questions below: a) The LA sh laws and industry standards. an IA becomes involved in politics, he or she should not present an unfavourable image. e) Solicitation of business must merit public respect. d) LAs should not use client funds or securities in any way e) In order to ensure fair, objective dealings, clients must be aware of any potential conflicts of interest_ Documentation about a client must reflect current status and be updated to assure suitability of trades. g) IAs must not use client information as a basis for recommendations to others h) Non-public material information must not be acted upon. i) IAs must avoid personal financial dealings with clients. j) Only securities approved by the firm should be distributed. k) If an IA has an interest in a deal that competes with a client, the client's interest comes first The lA must not represent facts to a client so as to create a more favourable D) m) All recommendations must be based on information about the client and the suitability of the transaction._ n) Confidentiality of a client and his/her financial circumstances must be maintained IA's own business affairs must be conducted in such a manner as to reflect credit on him or her and the firm. o) AnStep by Step Solution
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