Ensure the fair treatment of brokerage firm clients

Assignment Help Financial Management

Reference no: EM131829037

1. Which one of the following actions will not help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?

A. Limit the number of people in the firm who are aware in advance that a recommendation is to be disseminated.

B. Distribute recommendations to institutional clients prior to individual accounts.

C. Minimize elapsed time between the decision and the dissemination of a recommendation.

D. Monitor the trading activities of firm personnel.

2. When are communication style differs from those with whom we are communicating this is called blank

a. Style inflexability

b.a language barrier

c. communication style flexibility

d. a cultural disconnect

e. Communication style bias

Reference no: EM131829037

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