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What Are Financial Market Professionals Not Explicitly Required by the Model

Question 441

Multiple Choice

What are financial market professionals not explicitly required by the Model Code to clarify and agree to in writing?


A) that the customer understands he will be charged for advisory services that are provided
B) that the customer understands the terms, conditions and risks of the transaction
C) that the customer understands that any information or explanation should not be interpreted as investment advice or recommendations
D) that the customer understands he is entering into the transaction at his own risk and for his own account.

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