标题: Ethics - Soft Dollar Standards [打印本页] 作者: Unforseen 时间: 2013-5-6 13:01 标题: Ethics - Soft Dollar Standards
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作者: redskins44 时间: 2013-5-6 13:20
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!!!作者: ap0258 时间: 2013-5-6 13:24
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.作者: Bluetick1010 时间: 2013-5-6 13:32
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!
