Martha Maris is a qualified investment advisor who has been handling investment accounts of a few wealthy friends for a
Posted: Sun Aug 07, 2022 5:58 pm
Martha Maris is a qualified investment advisor who has been handling investment accounts of a few wealthy friends for a fee. She recently interviewed with CapitalManagement, Inc. and accepted a position as a money manager with them. She:
A. needs to inform only Capital Management about her old clients.
B. must inform Capital Management as well as all her old clients in writing about the arrangement.
C. does not have to inform her client friends about her employment with Capital Management.
D. does not have to inform Capital Management about her old clients since they were not retained through Capital Management.
A. needs to inform only Capital Management about her old clients.
B. must inform Capital Management as well as all her old clients in writing about the arrangement.
C. does not have to inform her client friends about her employment with Capital Management.
D. does not have to inform Capital Management about her old clients since they were not retained through Capital Management.