Ethical and Professional Standards III von Edu Pristine

Dozent des Vortrages Ethical and Professional Standards III

Edu Pristine

Trusted by Fortune 500 Companies and 10,000 Students from 40+ countries across the globe, EduPristine is one of the leading International Training providers for Finance Certifications like FRM®, CFA®, PRM®, Business Analytics, HR Analytics, Financial Modeling, Operational Risk Modeling etc. It was founded by industry professionals who have worked in the area of investment banking and private equity in organizations such as Goldman Sachs, Crisil - A Standard & Poors Company, Standard Chartered and Accenture.

EduPristine has conducted corporate training for various leading corporations and colleges like JP Morgan, Bank of America, Ernst & Young, Accenture, HSBC, IIM C, NUS Singapore etc. EduPristine has conducted more than 500,000 man-hours of quality training in finance.
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... issues of professional integrity Distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and ...

... Requirement vs. recommendation Recommend practices and procedures designed to prevent violations ...

... Care B. Fair Dealing C. Suitability D. Performance Presentation ...

... Client brokerage A. Loyalty, Prudence, and Care. Clients first! Determine fiduciary responsibility, portfolio objectives and ...

... Recommendations: Diversify Fair Dealing with all ...

... get the best execution. Don Davis a member uses a broker for clients account. The broker is an old friend of Davis. He charges very high fees and does not always provide the best execution. The broker however allows Davis to use his vacant apartment for personal use. Davis uses the apartment to host any clients that may be visiting them. A. Don violated standard III(A) Loyalty, Prudence and Care since he used the ...

...  No discrimination. Different service levels? ...

... Recommendations Maintain secrecy Reduce time lag. Disseminate simultaneously ...

... accounts and into accounts of his friends and relatives. Comment on whether any violation has occurred in the above case. A. Neil violated standard III(B) Fair Dealing since he only allocated 3,000 shares to individual accounts B. Neil violated standard III(B) Fair Dealing since he gave priority to individual accounts of his friends and relatives above other clients C. ...

... and constraints "Investment decision" ...

... gives a client account allocation of high risk securities, even though the client has low risk ...

... the investment in the past year. But the average growth over past five years have been 10%. A. Mark violated standard III (C) Suitability ...

... confidential unless "Illegal activities". Required by law. Client permit. Former clients ...

... for a charity firm about the clients intentions and tells him to contact the client A. The member did not violate any standard ...

... III(C) Suitability - Consider clients situation and portfolio context. III(D) Performance Presentation. No guarantee of returns. III(E) Preservation of confidentiality - Keep client information secret ...

... standards emonstrate and explain the application of the standards of professional conduct to situations involving issues of professional integrity distinguish between ...

... the code of ethics and standards of professional conduct ...

... the client accounts for which it is appropriate. She doesn't disclose the arrangement her employer as there is no monetary compensation involved. A. Debby violated standard III(C) since she purchased stocks inappropriately to the client s B. Debby violated standard II (B) since as she exercised material non-public information that she obtained serving as member on the board C. Debby violated standard IV(B) since she failed to disclose the additional ...

... Clearly written and easy to understand. Designate compliance officer ...

... and wait for first fraud or wrongdoing to occur before enforcing stricter compliance rules B. Bruce should call for a meeting with his team members and ask for suggestions. If no suggestions appear, Bruce should tender his resignation C. Bruce should first report the inadequacies to the management in written. If they don't act appropriate, Bruce should offer ...

... " IV(A) Loyalty Don't act against your employer. Priority rule = CFA institute > Client > employer > personal " IV(B) Additional Compensation Arrangements Avoid gifts against employer ...