III(B): Fair Dealing
CFA® Standard of Professional Conduct III(B): Fair Dealing requires that all members:
Not quite.
It is not required, for example, that inappropriate subscription notifications be sent to clients.
No.
It is not required that investment recommendations be sent to clients for which the investment would be inappropriate.
Correct.
Standard III(B): Fair Dealing requires that members avoid discriminating against clients when making investment decisions or taking investment actions. It does not require that all clients are treated equally, however. Some investments may not be deemed suitable for some clients, in which case they might not be presented to them.
notify all clients of any new issue-subscription opportunities.
disseminate investment recommendations to all clients simultaneously.
avoid discriminating against any client when making recommendations or taking actions.
