Executing client requests in line with industry trading laws and business standards is the Investment Representative's responsibility.
The Investment Representative's duties include carrying out client instructions in accordance with firm policies, industry trading regulations, and market activity, as well as providing accurate and timely information on market activity, business products and services, and customer account information.
An entity or person who receives compensation for advising customers on investments is known as an investment adviser. Investment advisers and financial advisors are not the same, despite the fact that the words sound similar.
Recommendations and advice on the value, purchase, and selling of stocks can be given by representatives of investment advisers. Additionally, they have the ability to oversee other staff members who work in a similar capacity and manage client portfolios or accounts.
The complete question is:
An Investment Adviser Representative (IAR) wants to take a part-time job giving SCUBA lessons. This is permitted:
A. under no circumstances
B. if the Investment Adviser that employs the IAR says that it is allowed
C. if the Investment Adviser Representative does not earn any compensation for giving the SCUBA lessons
D. if the Investment Adviser Representative does not give investment advice or sell securities
Therefore, the correct answer is option b) if the Investment Adviser that employs the IAR says that it is allowed.
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