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Sofie is a busy mutual fund sales representative.

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Sofie is a busy mutual fund sales representative. She would like to move clients that are invested in low-yielding cash accounts to her firm’s higher-yielding proprietary money market mutual fund. She confirms the orders with the clients, then instructs her new sales assistant, who will write the IFC exam next week, to enter orders to buy units in this fund. How has Sofie violated the standards of conduct?

A.

She allowed an unregistered individual to process the order to buy units

B.

She failed to establish a scheduled review for her clients’ accounts

C.

She has done insufficient research and violated her due diligence requirement

D.

She violated no standards of conduct

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