What is the meaning of the Standard I-D of Professionalism “Misconduct”?
Cooper is an advisor with W&W Investment Firm and he manages accounts of wealthy clients. This Investment Firm has a policy for advisors to correct within 15 days, all trades with some kind of error and the difference between the trade price and the current price is charged to the advisor´s personal account through an
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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
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What is the meaning of the Standard I-B of Professionalism “Independence and Objectivity?
Amelia Bulonska is a highly respected technology sector analyst with Dadu&Fefe and has been asked by another investment firm to be the key spokesperson for a conference it is organizing. This investment firm has offered to pay her all expenses, plus bringing 3 all-expenses paid companions and a golf outing at Pebble Beach which is
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