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| `Phillip Kevil, CFA, is an investment advisor for Sensible Investments Inc. one of Kevil’s clients, Alan Miller, has requested that Kevil purchase shares of Long Shot Technology through a broker that charges higher-than-average fees. Miller maintains a nondiscretionary account and makes each investment decision himself. Even though the account is not discretionary, Miller does allow Kevil to vote all proxies for his account. Kevil generally votes the proxies with management since most of the stocks in Miller’account are high-tech companies in which the managers are the largest shareholders. Has Kevil violated any standards? A:Kevil has not violated any Standards. B:Using Miller’s choice of broker is not a violation, but kevil’s proxy voting policy is a violation. C:Both using miller’s choice of broker and Kevil’s proxy voting policy are violations. |
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