问题
单项选择题
Emilie Rome. CFA, is a stock broker in Miller investment consulting firm. Charlotte Everett, one of Rome's clients is a retiree living on income from her pension plan with below-average risk tolerance. Everett asks Rome to buy a structured product consisting of call and put stock options. Rome tells Everett that the product has significantly high risk and low income. However, Everett still confirms the order, and Rome executes the trade. Has Davis most likely violated the Standards of Professional Conduct
A. No.
B. Yes, relating to suitability.
C. Yes, relating to loyalty, prudence, and care.
答案
参考答案：A
解析： Rome充分告知了客户该投资产品具有高风险和低收益，尽管该投资产品并不适合于该客户，但如果客户仍然要求进行交易，那么Rome为其执行并不违反任何条款。