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NEW QUESTION: 1
A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its clients for investment advice for additional remuneration.
Which of the following statements is true?
A. A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.
B. A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.
C. A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.
D. A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
Answer: A
Explanation:
Explanation/Reference:
Explanation: A-2-Z can charge a client it advises an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of the potential conflict of interest and get the client's written consent. It must also provide an itemized statement of all such agency cross transactions performed for the client at least annually.

NEW QUESTION: 2
The ________ states that broker/dealers should be subject to strict standards because they are advertising themselves as market professionals.
A. cover canon
B. posting criterion
C. marketing regulation
D. shingle theory
E. canopy principle
Answer: D
Explanation:
Explanation/Reference:
Explanation:
The shingle theory states that broker/dealers should be subject to strict standards because they are
"hanging out their shingles," or, advertising themselves as market professionals. The theory states that inherent in the relationship between brokers/dealers and their clients is the representation that the customer will be dealt with fairly. Brokers/dealers are in a position to exploit their customers' trust and ignorance and therefore they are held to a higher duty of care.

NEW QUESTION: 3
The company has hired a new manager to set up and configure Field Service to automatically schedule work orders to the most appropriate resource scheduling.
The manager is unable to optimize requirements and bookings related to work orders.
Which three settings are required? Each correct answer presents part of the solution.
A. Enable Resource Scheduling Optimization.
B. Set Connect to Maps as Yes.
C. Add the RSO dispatcher role to a dispatcher.
D. Assign the Field Service-Administrator security role to the RSO user.
E. Add RSO to the profile Field Service-Administrator.
Answer: A,B,E
Explanation:
Section: Schedule and dispatch work orders
Explanation:
https://docs.microsoft.com/en-us/dynamics365/customer-engagement/field-service/rso-configuration

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