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Harry is a Mutual fund dealer, commingled his clients assets with his assets, which was in violation of SRO rules. He is most likely in breach of
Harry is a Mutual fund dealer, commingled his clients assets with his assets, which was in violation of SRO rules. He is most likely in breach of
A . Professionalism
B . Integrity
C . Duty of care
D . Compliance
E . Confidentiality
Answer: D
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