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.作者: firat 时间: 2011-7-13 16:58
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.作者: tarunajwani 时间: 2011-7-13 16:58
exactly! do we reverse trades if we payed a higher price than the client, but we bought it before?作者: brainsX 时间: 2011-7-13 16:58
yes one can approach denied clients. i know this for sure (or else i will be -1!)作者: sameeragarwal 时间: 2011-7-13 16:58
I believe you can ONLY after business hour.作者: SpyAli 时间: 2011-7-13 16:58
VIK...you have no idea作者: onelife1 时间: 2011-7-13 16:58
I think I have nailed ethics. Could be my saving grace on judgement day...作者: OmarAdnan 时间: 2011-7-13 16:58
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作者: mp3bu 时间: 2011-7-13 16:58
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
