World Investment Advisers is a large sales force of

World Investment Advisers is a large sales force of

World Investment Advisers is a large sales force of registered investmentrepresentatives which has affiliations with many firms that produce investmentrelatedproducts, such as mutual funds, life insurance, mortgages, andannuities. World Investment Advisers representatives market these productsto the investing public and are able to pick and choose the best productsfor any particular client’s needs. One of the affiliated firms is a mutual fundcompany called Life Investors. The company has a special agreement withWorld Investment in which World Investment has identified Life Investors asa “preferred product provider” in their internal marketing materials to theirinvestment representatives. In return for this preferential treatment by WorldInvestment, Life Investors has reimbursed World Investment for the cost of thesemarketing materials out of the trading commissions generated from the sale ofLife Investors mutual funds by World Investment sales representatives. Which of the following statements regarding any violations of the Code is most correct?World Investment violated the Code relating to:A. accepting gifts of minimal value because Life Investors is paying for the marketing materials that could influence World Investment’s representatives.B. having a reasonable and adequate basis for making investment decisions.C. soft commissions by using client brokerage to pay for marketing materials.

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