Ethics offering a client compensation to resolve a dispute
Does anyone find it strange that someone bound by the CFA Code of Ethics may offer clients additional compensation (Ie. Cash) to resolve a dispute? I understand that you need to keep your clients happy, but this comes off as sounding a bit fishy.
For the record, you may NOT offer a client shares of an oversubscribed new issue as compensation for a dispute (violates Fair Dealing with your other clients). Hmm |