注册 登录
上一主题：LIII Exam questions - best?
下一主题：Behavioral portfolio theory
返回列表 发帖
Unforseen

Rank: 2

UID
222295 
帖子
348 
主题
4 
注册时间
2011-7-2 
最后登录
2014-6-29 
1# 跳转到 » 倒序看帖
打印
tT
发表于 2013-5-6 13:01 | 只看该作者

Ethics - Soft Dollar Standards

difference, between, wrong
Curriculum Book 1, Page 180. CFAI Soft Dollar Standards:
Can anyone expain what is difference between “Proprietary Research Arrangement” and “Soft Dollar Arrangement” definitions?
I seem to be unable to find any. Where am I going wrong? o.O

 

相关主题：

. Trade Date Acc. vs. Settlement Date Acc.

. Roll Yield

. 请教level 1 有关derivative的一道问题

. 请问大家一道关于derivative的问题

. Thank you for your sharing and some questions about the difference between the s

收藏 分享

redskins44

Rank: 2

UID
223432 
帖子
312 
主题
12 
注册时间
2011-7-11 
最后登录
2016-4-19 
2#
发表于 2013-5-6 13:20 | 只看该作者
abab1990 wrote:
Not exactly…
I normally use schweser for my preparation. But for Soft dollars part, schweser has vague information. So I used CFAI notes… But i just glanced through Appendix C and m not very sure of what it means.. Ethics is the part which I dont concentrate much on. But seeing ur queries, I feel that I need to concentrate on ethics too..
BTW, is there anything u find important in Appendix C?? If yes, please lemme knw. Even I may want to read the important part.
Looks like I am focusing too much on ethics
nothing in particular… just that it mentions XYZ is a firm and a CFAI member… so I wonder how is it possible… or did I read it wrong!!!

TOP

ap0258

Rank: 2

UID
223445 
帖子
322 
主题
15 
注册时间
2011-7-11 
最后登录
2014-8-7 
3#
发表于 2013-5-6 13:24 | 只看该作者
Am not sure if you are focussing much on ethics or is it me who is focussing very less..
And for your query, I guess you read it wrong. XYZ is basically a firm and it complies with the CFAI soft dollar standards. i.e. it is voluntary for a firm to comply with CFAI soft dollar standards and if it complies then any violation can lead to problems . And you are very right that a firm cannot be a CFAI member. So a read error from your side I suppose.
I hope u get it.

TOP

Bluetick1010

Rank: 2

UID
223277 
帖子
269 
主题
140 
注册时间
2011-7-11 
最后登录
2013-10-9 
4#
发表于 2013-5-6 13:32 | 只看该作者
abab1990 wrote:
Am not sure if you are focussing much on ethics or is it me who is focussing very less..
And for your query, I guess you read it wrong. XYZ is basically a firm and it complies with the CFAI soft dollar standards. i.e. it is voluntary for a firm to comply with CFAI soft dollar standards and if it complies then any violation can lead to problems . And you are very right that a firm cannot be a CFAI member. So a read error from your side I suppose.
I hope u get it.
btw how much have u finished and what are studying?
I am doing FRA!

TOP

返回列表
上一主题：LIII Exam questions - best?
下一主题：Behavioral portfolio theory