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Marshall Hopkins reports data for the Alliance Equity Fund. He states in an information sheet that “Alliance has produced a one-year return of 37%.” This result was based on Alliance’s best year in the past five. He discloses this in a footnote at the bottom of the information sheet. Hopkins’ action is: A. a violation of the Standard concerning performance presentation. B. a violation of the Standard concerning duties to clients and prospects. C. not a violation of the Code and Standards since he has disclosed the source of the 37% return number. |