I ran a search for this question because I hate to start another post, but what is the answer to the question that begins, “Phoung has a number of investment clients…”
Thank you.
as not violated the Code and Standards as long as his increased level of service to some clients has not disadvantaged other clients and he has disclosed his different levels of service to all his clients.
thats what i think
What about the one where the client will give the investment manager $100,000 if the portfolio goes up by 18%?
I made the mistake of putting that it would be a violation because 100,000 seems like an exorborant amount of addt’l compensation. Was the correct answer to notify your employer in writing?
发表于 2013-4-1 12:43
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