Ethical and Professional Standards IV
About the Lecture
The lecture Ethical and Professional Standards IV by Edu Pristine is from the course Archiv - Ethical and Professional Standards. It contains the following chapters:
- Investment Analysis, Recommendations and Actions
- Introduction to the Global Investment Performance Standards (GIPS)
- Composites
Author of lecture Ethical and Professional Standards IV
Edu Pristine
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Excerpts from the accompanying material
... issues of professional integrity. Distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards ...
... Requirement vs. recommendation. Recommend practices and procedures designed to prevent violations of ...
... A. Diligence and Reasonable Basis ...
... A. Diligence and Reasonable Basis. Exercise diligence. Reasonable and adequate basis. Third party research? ...
... A. Rishabh has violated standard III (C). Suitability since he failed to consider his clients needs. B. Rishabh has not violated any standards and has presented his offering based on the conservative estimate. C. Rishabh has violated standard V (A). Diligence and Reasonable basis since he has provided his ...
... Forms of communication. B. Communication with Clients and Prospective Clients. Investment process ...
... gold on the property and he concludes his research report as follows: Based on the fact that the company has 300,000 ounces of gold to be mined, I recommend a strong BUY. A. Richard has violated standard I (C). Misrepresentation since he is guaranteeing the returns by the purchase of company s stock. B. Richard has violated standard II (A). Material non-public information since he acted on a non-public information. C. Richard has violated standard V (B). Communication with clients and Prospective client s since the recommendation is based on his ...
... Property of firm "Recommendation ...
... A. The member has not violated any standards of professional conduct. B. The member has violated standard III (C). Suitability since he/she prepares the prospects even though only certain clients might agree to it. C. The member has violated standard V (C). Record Retention since the information must be held or a minimum period ...
... "V (A) Diligence and Reasonable basis. Due diligence and consider suitability. Third party research. Group research and opinion differences" V (B) Communication to Clients and ...
... what parties the GIPS® standards apply to, and who is served by the standards? ...
... Why GIPS®? Meaningful comparisons ...
... Performance Standards (GIPS®) ...
... Non-asset management firms? Partial GIPS® compliance? "GIPS®. What?" GIPS® in action & who ...
... Global Investment Performance Standards (GIPS® ...
... Performance presenter.Prospective clients. Explain why the GIPS standards were created Standards for performance presentation." What parties the GIPS standards apply ...
... all clients objectives, mandates and constraints. B. Varying time period presenting performance for a selected time period which highlights the firms very best returns. C. Survivorship bias. Presenting an average performance history that excludes accounts that were discontinues for poor performance ...
