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Question of the Week - Ethical and Professional Standards
Mutual fund XYZ offers Lisa Smith, CFA a 1% commission for adding the fund to her clients' portfolios. Which of the following actions do the Standards of Professional Conduct not allow Lisa to take?
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Question of the Week - Ethical and Professional Standards 28 votes
Decline to add fund XYZ to the clients’ portfolio
Refuse to take commission for fund XYZ
Add fund XYZ to the clients’ portfolio without disclosing the commission