Hey guys.
Is it a violation regarding suitability and fair dealing if one recommends about an asset to or calls only clients that one seems to be suitable for??
It’s kinda confusing. I think it’s okay, regarding suitability, but I’m not 100% sure.
The Code requires members and candidates fair, not equal, dealing with clients. Since there can be different types of services in an investment company (based on the fees paid), it is ok to call clients for which particular investments are suitable.
much appreciation guys!