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| According to the CFA Institute’s Standards of Professional Conduct, Fleming’s execution of Waverly’s trade order after confirming the appropriateness of the trade is most likely: A. in violation of Standard V(B) – Communication with Clients and Prospective Clients for not separating fact from opinion but is not in violation of Standard I(C) – Misrepresentation because his guarantee of future investment performance was not a written representation. B. in violation of Standard I(C) – Misrepresentation for not disclosing to Waverly that he did not read the marketing materials but is not in violation of Standard III(C) – Suitability because the client analyzed the investment thoroughly. C. in violation of Standard V(A) – Diligence and Reasonable Basis for not exercising diligence and thoroughness in his analysis of the investment and Standard III(C) – Suitability for recommending an investment before determining if the investment was appropriate for the client. |