Before making a recommendation to a client with an investment policy statement, Standard III(C) Suitability requires a member to ensure the investment is consistent with the client's:

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Multiple choice — select the best answer

AMost recent verbal request only
BTax bracket alone
CBroker's commission targets
DObjectives, constraints, and overall portfolio context

✓ Correct answer: D. Objectives, constraints, and overall portfolio context Standard III(C) requires that recommendations fit the client's financial situation, constraints, risk tolerance, and objectives, and suit the basket as part of the total portfolio.

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Topic: Ethical & Professional Standards

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Before making a recommendation to a client with an investment policy statement, Standard III(C) Suitability requires a member to ensure the investment is consistent with the client's:

Related questions — Ethical & Professional Standards

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