问题 单项选择题

A money manger works for a full-service brokerage firm. After meeting with a new client and gathering all relevant information, the money manager says that she thinks her firm can perform all the financial services the new client needs. With respect to Standard Ⅰ (C) , Misrepresentation, this:()

A. may not be a violation if the representation was made orally.

B. is a violation because she should have gathered the relevant information before the prospect became a client.

C. may not be a violation if the manager’s opinion is based upon the factual information gathered.

答案

参考答案:C

解析:

There is no violation if the opinion is based upon the factual information gathered and the firm’s actual capabilities. This is true whether or not the representation was written, oral, or electronic. None of the other choices are correct.

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判断题