GISI Intermediate Practice Questions - GISI Securities Course Intermediate Level Exam

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Under the principles of fair dealing, when a broker-dealer firm in Ghana changes its investment recommendation from "Buy" to "Hold" for a listed stock, how should this change be disseminated?

Inform the largest institutional clients first, then notify retail clients the following business day. Execute pending client orders based on the old advice before distributing the new recommendation. Disseminate the new recommendation to all clients simultaneously to ensure equal opportunity. Inform the firm's proprietary trading desk first to allow hedging before notifying clients.

Correct Answer:

Disseminate the new recommendation to all clients simultaneously to ensure equal opportunity.

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