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When dealing with a fund manager, who will allocate shares in a transaction to his...

ACI 3I0-012 Full Course Access
ACI 3I0-012 View All Questions

When dealing with a fund manager, who will allocate shares in a transaction to his unknown clients after the transaction has been executed with you, you should:

A.

Agree in writing with the fund manager that the allocation will be confirmed as soon as practicable after the transaction is executed.

B.

Insist on the allocation being made and confirmed before the transaction is executed.

C.

Agree in writing with the fund manager that he will guarantee the transaction until the allocation is confirmed.

D.

Any of the above.

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