Standard V (A) - Diligence and Reasonable Basis

This standard has two parts:

  • A. Diligence and Reasonable Basis
  • B. Communication with Clients and Prospective Clients
  • C. Record Retention

A. Diligence and Reasonable Basis

This standard states that the member must exercise diligence, independence, and thoroughness while analyzing investments, making recommendations, and taking investment actions.

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