问题
单项选择题
Jessica Walters, CFA, is a portfolio manager and manages portfolios of a number of high-net-worth retail and institutional clients. Walters receives an allocation of oversubscribed initial public offering of a highly-speculative and risky firm manufacturing pharmaceutical. Walters allocates the stock on a pro rata basis to only those clients who are suitable for the stock according to their investment policy statements. Walters most likely violated the Standards of Professional Conduct（）
A. No.
B. Yes, relating to fair dealing.
C. Yes, relating to suitability.
答案
参考答案：A
解析：
Walters是在确认客户适合该股票的情况下才加以分配的，并没有违反适合性。同时，他也在适合的客户中进行了按比例分配，并没有违反公平对待标准。