Clearing up some ethics...
Hey Guys,
I was reading a question about this guy had some medicals bills to pay for his wife, but couldn't so he filed for bankruptcy. He doesn't have to disclose this because it doesn't reflect his work.
(1)I understand fraud charges and dishonesty but what about a felony charge, even though if it doesn't relate to his profession.
(2)Suitability: If Portfolio manager makes a recommendation for a certain stock. Which is more ethical, emailing it to all her clients or emailing it to a certain people with similar risk and return.
(3)Nonpublic information: So analyst hears some non public information, he could tell the supervisor and compliance officer ONLY.
(4)Thank you gifts from clients. ANY gifts received must be reported to employer.
Lastly, when does must client need a written consent. |
发表于 2011-7-13 16:56
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