GISI Foundation Practice Questions - GISI Securities Course Foundation Level Exam

Access More Questions

An investment advisor at a Ghanaian brokerage firm owns shares in a local agricultural company and intends to recommend these shares to retail clients. Under the GISI Code of Conduct, what is the advisor's immediate obligation?

Sell all agricultural shares immediately before making the recommendation. Disclose the personal shareholding clearly to the clients before they make an investment decision. Recommend the shares without disclosure, provided they believe the recommendation is suitable. Transfer the shares to a family member to avoid a conflict of interest.

Correct Answer:

Disclose the personal shareholding clearly to the clients before they make an investment decision.

Access more questions from this quiz

Continue to GISI Foundation Practice Questions - GISI Securities Course Foundation Level Exam for more practice questions and the full quiz experience.

Access More Questions