Queenie
2022-08-14 16:20這道題為什么選A？
Alexander Newton, CFA, is the chief compliance officer for Mills Investment Limited. Newton institutes a new policy requiring the pro rata distribution of new security issues to all established discretionary accounts for which the new issues are appropriate. The policy also provides for the exclusio
所屬：CFA Level I > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個回答
Danyi助教
2022-08-15 13:13
該回答已被題主采納
同學(xué)你好，
因為主人公他是公司的chief compliance officer，institutes a new policy這個政策就是他制定的，policy本身制定的有問題損害了那些不滿一個月的客戶，就相當(dāng)于主人公違規(guī)了。
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