Schweser QBank 2017 11 pearl investment management (a), (b), and (c)

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Schweser QBank 2017 11 pearl investment management (a), (b), and (c)

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... price and execution and low soft dollars ᅞ B) good price and execution and good soft dollars ᅚ C) best price and execution but no soft dollars Explanation Standard III(A), Loyalty, Prudence, and. .. Institute Code and Standards ᅞ C) a violation of the Standard concerning disclosure of conflicts Explanation These actions are in accordance with both Standards III(B), Fair Dealing, and VI(B), Priority... Standard V(B), Communication with Clients and Prospective Clients, requires members to disclose "general principles and investment processes" to clients and to "promptly disclose to clients and

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