问题
单项选择题
Bob Wade, CFA, a senior trust manager for Central Midas Bank, manages derivative investments for aggressive clients. Wade has an agreement to refer clients with real estate needs to Carol Corky, who is in charge of a local real estate brokerage firm. Corky, in return, refers his clients with investment needs to Wade. Neither of them pays the other any cash for the referrals, and neither of them mentions the agreement to their clients or prospective clients. Has Wade most likely violated the Standards of Professional Conduct（）
A. No.
B. Yes, relating to referral fees.
C. Yes, relating to communication with clients and prospective clients.
答案
参考答案：B
解析：
对于任何推荐(产品或服务)费都需要向客户、潜在客户和雇主进行披露，不管是金钱上的还是非金钱上的。题干中虽然双方都没有收取现金，但是Wade从对方换来客户得到了利益，此信息也应该披露给客户。