Harry is a Mutual fund dealer, commingled his clients assets with his assets, which was in violation of SRO rules. He is most likely in breach of

Harry is a Mutual fund dealer, commingled his clients assets with his assets, which was in violation of SRO rules. He is most likely in breach of
A . Professionalism
B . Integrity
C . Duty of care
D . Compliance
E . Confidentiality

View Answer

Answer: D