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- UID
- 223405
- 帖子
- 284
- 主题
- 9
- 注册时间
- 2011-7-11
- 最后登录
- 2014-7-31
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2#
发表于 2011-7-13 15:24
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Additional Compensation Arrangements: Members and Candidates must not accept gifts, benefits, compensation, or consideration that competes with, or might reasonably be expected to create a conflict of interest with, their employer's interest unless they obtain written consent from all parties involved.
Soft Dollar Standards: investment managers must disclose to clients, prominently and in writing, that more information concerning soft dollar arrangements is available on request.
Soft Dollar Standards: it is permissible to use client brokerage obtained from principal trades to benefit other client accounts, as long as this disclosed to the client and prior consent is received. (not necessary in writing though)
Research Objectivity Standards (Recommendations for compliance)
- obtain approval from compliance and legal in advance of trading on any securities in the assigned industry.
- provide compliance and legal with complete list of personal holdings. |
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