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Months travelling through various counties in the far east

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Reference no: EM133145952

Sharon is a client of DEF Financial Services, a mutual fund dealer. Sharon owns a large portfolio of mutual funds and she is one of your best clients.

This summer Sharon plans to spend 4 months travelling through various counties in the Far East. Communicating with her Mutual Fund Advisor (Anne) may be difficult and so her advisor suggests to her that she complete and sign a Power of Attorney over to him. Sharon completes the Power of Attorney with her lawyer and provides Anne with a signed and dated copy for her file.

If Anne goes ahead and makes trades in Sharon's account while Sharon is away, has she violated any MFDA rule(s)?

Reference no: EM133145952

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