标题: a few ethics hypotheticals [打印本页] 作者: MonkeyBusiness 时间: 2013-3-31 13:09 标题: a few ethics hypotheticals
1. You are a mining analyst sent to the middle of Utah on assignment that includes four mines in three days with no commercial flights or hotels available. You accept the company’s flight/motel. Must you disclose this or you not obligated to do anything since accomodations so modest?
2. Brokerage house you work with gifts you with tickets to World Cup, limos, hotels, and dinner. Disclose, written consent, or may not accept whatsoever?
3. Analyst 1 and Analyst 2 work for the same firm. I know that if Analyst 1 has left the firm, he need not be referenced because his work is the firm’s possession. But must he be referenced in a report by Analyst 1 if he is still employed with the firm?
4. I completed Level 3 Exam but don’t have my work experience yet–am I a Level 3 Candidate? (see page 147 top of page).
5. Gifts from clients for past performance must be disclosed but gifts from clients for future performance need written consent. Do the same rules apply for non-clients (i.e. brokers) or are they more strict?
6. Quarterly performance review, annual IPS review, modeled or hypothetical results allowed with disclosure for both Standards and AMC?
7. Difference: Standards allows IPOs with approval but no private placements; AMC allows both with disclosure.作者: tarunajwani 时间: 2013-3-31 13:09
1. You are a mining analyst sent to the middle of Utah on assignment that includes four mines in three days with no commercial flights or hotels available. You accept the company’s flight/motel. Must you disclose this or you not obligated to do anything since accomodations so modest?
My opinion:
This is neither gift nor additional compensations, so no need to disclose but you cannot accept if motel has luxury nature….say…massage girls who affect your independence.作者: maratikus 时间: 2013-3-31 13:09
haha. if it is the only place to stay, i would say no need even if it happens to be a luxury hotel.作者: krause2 时间: 2013-3-31 13:09
yea i think no need for any disclosure–this was similar to a q on the level 2 exam last year.
any thoughts on the others?
