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Question:
Which of the following is most likely a violation of Standard III (B): Fair Dealing?
A
An analyst carries out trades for discretionary accounts before non‐discretionary accounts.
explanation
• Discriminating against certain clients when carrying out trades is a violation of Standard III (B): Fair Dealing.
•Statement A describes a violation of Standard V (B): Communication with Clients and Prospective Clients.
• Statement C describes a violation of Standard I (C): Misrepresentation.
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