Securities Investment Adviser
Securities Investment Adviser Professional Competence Level Evaluation Test — Securities Investment Advisory Business (证券投资顾问专业能力水平评价测试—证券投资顾问业务, China)
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Exam overviewPractice session
A securities investment adviser at a licensed brokerage firm is asked by a high-net-worth client to manage her account directly using her trading password and execute trades whenever market opportunities arise. According to CSRC and SAC regulations, how must the adviser respond?
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