标题: Ethics offering a client compensation to resolve a dispute [打印本页] 作者: ramzes 时间: 2013-4-3 22:34 标题: 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作者: leonardus 时间: 2013-4-3 22:37
I think it makes sense from the standpoint that a client may think you violated some form of client/trust but CFAI doesnt want to be chasing investigations of wrongdoing if some of the matters are simple. Think about all the ARS disputes that are going on now with the bigger banks pertaining to suitability and if those were in firms run by CFAs.
