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Sharing in Client Accounts

Sharing in Client Accounts

"Moving on, people. Who can tell me why sharing in a client's profits and losses is considered an unethical practice by securities regulators?"

A kid who looked like he was still in high school finally found the nerve to speak up. "Fiduciary obligations?"

"What about them?" She hovered, the whip dangling from one hand. "Investment firms have a fiduciary obligation to recommend suitable investments for a client's account, not share in the results of those recommendations. If an investment firm...

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