Eleanor Preston, CFA, is a financial planner for high-net-worth individual clients in a local bank. Preston has been under pressure from his supervisor to sell a new bond which has a fixed rate of interest 6% guaranteed by the corporate issuer. Preston sends an e-mail to all her clients, which includes a copy of the prospectus with a message. The subject line reads, "New Fixed Rate Interest Bond of 6%, safe and guaranteed rate of return". Has Ellis most likely violated the Professional Conduct Standards()
A. Yes, only by misrepresenting the characteristic of the bond.
B. Yes, only by failing to provide full detail about the characteristic of the bond.
C. Yes, both by misrepresenting the characteristic of the bond and failing to provide full detail about the characteristic of the bond.
参考答案:C
解析:
由于投资产品的投资收益不能够被保证,所以preston虚假陈述了该产品的特征。该投资产品投资收益来自利息还有资产价格本身的波动,她给客户电子邮件里的信息并不是很全面地介绍了该产品。