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作者: nannan66 时间: 2011-7-13 16:10
similary another one page 135. ex 3
Allocating it to family last. Is it a violation of fair dealing or conflicts of interest?作者: zwjy 时间: 2011-7-13 16:10
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.作者: Chuckrox 时间: 2011-7-13 16:10
