
微信扫一扫
实时资讯全掌握
Rickard Advisors recently had a trading error in a customer account that was subsequently covered by Rickard. The firm felt embarrassed by the disclosure of this error, and, in order to induce the client to continue its relationship, Rickard offers the client preferential access to a new issue that is expected to be “hot.” Which Standard is violated, if any? A. The Standard concerning Fiduciary Duty. B. The Standard concerning Independence and Objectivity. C. The Standard concerning Fair Dealing. |