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C. Suitability.
#analyst-notes #code-of-ethics-and-standards-of-professional-conduct #iii-duties-to-clients

1. When in an advisory relationship with a client, you must:

a. Make a reasonable inquiry into a client investment experience, risk and return objectives, and financial constraints prior to making any recommendation or taking investment action and update this information regularly.

b. Determine that an investment is suitable to the client's financial situation and consistent with the client's written objectives prior to making an recommendation or taking investment action.

c. Judge the suitability of investments in the context of the client's total portfolio.

2. When you are responsible for managing a portfolio to a specific mandate, strategy, or style, they must only make investment recommendations or take investment actions that are consistent with the stated objectives and constraints of the portfolio.

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