Question
QUESTION 40 Which of the following is a part of the Code of Ethics? a. Members and candidates must retain records that substantiate the scope
QUESTION 40
- Which of the following is a part of the Code of Ethics?
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| a. | Members and candidates must retain records that substantiate the scope of their research and reasons for their actions or conclusions. |
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| b. | Promote the integrity of, and uphold the rules governing, capital markets. |
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| c. | Determine that an investment is suitable to the clients financial situation and consistent with the clients written objectives, mandates, and constraints before making an investment recommendation or taking investment action. |
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Financial Regulation In The EU From Resilience To Growth
Authors: Raphaël Douady , Clément Goulet, Pierre-Charles Pradier
1st Edition
3319442864,3319442872
