Standard III (C) - Suitability
- Before making an investment recommendation or action, the members must reasonably enquire into the client’s investment experience, his risk/return objectives, and any limitations.
- Before making an investment recommendation or action, the members must determine that the investment being advised is suitable for the client in terms of the client’s objectives, financial goals, and limitations.
- The member must also ascertain whether the investment being recommended is suitable in context of the client’s overall portfolio.
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