Ethics current, ethics

anish

Ok lets talk ethics ... I know you can't poach prospective clients and current clients.



Edited 2 time(s). Last edit at Monday, June 7, 2010 at 06:53PM by roumancesoiree.

firat

I think approaching clients that were rejected by the firm is ok because it does not cause harm to the company. There was an example either in the SW notes or in one of the practice exams.

tarunajwani

exactly! do we reverse trades if we payed a higher price than the client, but we bought it before?

brainsX

yes one can approach denied clients. i know this for sure (or else i will be -1!)

sameeragarwal

I believe you can ONLY after business hour.

SpyAli

VIK...you have no idea

onelife1

I think I have nailed ethics. Could be my saving grace on judgement day...

OmarAdnan

Front running is beyond CFA code of ethics. Its an SEC violation

So you don't simply reverse the trades, you punish him. I forget the choices but it was the last one

mp3bu

What about Standard I B? What is up with the travel expenditures?...It has been cited that there is an example in the CFAI book where travel and accommodations are acceptable. However, it clearly states the location was remote and there was NO OTHER accommodations available