微信扫一扫
实时资讯全掌握
|
Tony Calaveccio, CFA, is the manager of the TrustCo Small Cap Venture Fund in Toronto. He places trades for the fund with River City Brokerage. River City presents Calaveccio with a bottle of inexpensive wine at Christmas each year. Calaveccio does not disclose this fact in the prospectus of the small cap venture fund. This action is: A. in violation of the Standard concerning disclosure of additional compensation arrangements. B. not in violation of the Code and Standards. C. in violation of the Standard concerning disclosure of conflicts to clients and prospects. |