Samuel Peter, CFA, manages investment portfolios for high-net-worth individuals. Peter differentiates client service levels by portfolio size and management fee, and he trades more actively in his largest portfolios to make sure that those clients who pay the most management fees get priority and better performance. He fully discloses this arrangement to all of his clients. Has Peter most likely violated the Standards of Professional Conduct()
A. No.
B. Yes, relating to fair dealing.
C. Yes, relating to communication with clients and prospective clients.
参考答案:B
解析:
为客户提供不同的服务等级是允许的,但绝对不能歧视任何客户。Peter为大客户积极交易并确保他们获得优待和更好的业绩表现,虽然将该安排事先告知了所有客户,但是也违反了公平对待的行为标准。