微信扫一扫
实时资讯全掌握
|
A broker was sanctioned for unsuitable recommendations and excessive trading involving three accounts under his care. These clients were unsophisticated, inexperienced individual investors with limited means. According to CFA Institute Standard III(C), Suitability, which of the following is least likely to be considered a relevant factor in determining the appropriateness and suitability of investment recommendations or actions for each portfolio or client? A. Basic characteristics of the total portfolio. B. Best interests of the investment professional. C. Needs and circumstances of the portfolio or client. |