Business, 30.10.2021 02:30 emhunter101
All of the following statements concerning an agency cross transaction for an advisory client are true EXCEPT A) an advisory client must provide prior written consent for the adviser to be able to engage in agency cross transactions B) an investment adviser may recommend the transaction to both parties to the transaction C) an investment adviser must make prior written disclosure to the advisory client that it will act as broker-dealer for, have a potential conflict of interest with, and may collect commissions from both parties
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All of the following statements concerning an agency cross transaction for an advisory client are tr...
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