Ethics question question

Wendy01

Page 123 Ex 3 in CFAI book

Records created by blank supporting the research model he developed at GPIM records are the records of GPIM.

I though this will be the violation of duty to employer but is it violation of investment analysis, recommendation and actions - record retention

This is why I did not do well in ethics

nannan66

similary another one page 135. ex 3

Allocating it to family last. Is it a violation of fair dealing or conflicts of interest?

zwjy

Well, for what is worth, the trick unfortunately is to get familiar with where CFA can stomp you.

Make sure you review enough examples on V.B1,2,3 and compensation issue (always CFA favorite) - remember that compensation that you have to report to employer is related to 1) Additional compensation arrangement (key word - Sales or Advisors), but it can also be part of 2) Standard I.B (independence and objectivity - related mostly to ANALYST (key word), and lastly 3) conflict of interest VI.C Referral fee.

Chuckrox

Basically look out for combinations