What is the meaning of the Standard I-C of Professionalism “Misrepresentation”?
Robert Swatz is a financial advisor who is trying to get a new client and to do so, he says, “I only have a 4-year track record, but I’ve averaged a 34% return on my clients’ accounts”. This sentence is true, but Swatz does not mention to the prospectthat he has few clients, and that
Leer más
What is the meaning of the Standard I-A of Professionalism “Knowledge of the Law?
Roberto Velasco, passed the CFA levels I and II in his first attempt, and he recently registered for the Level III exam. Roberto works for a global investment firm known as Alpha Searchers, and his company adopted the Code of Ethics and the Standards of Professional Conduct three years ago. Which one of the following
Leer más
