Mary, a CFA holder, works for an investment and brokerage firm. She discovers that a...
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Mary, a CFA holder, works for an investment and brokerage firm. She discovers that a small company in the real estate industry is going public and believes it to be a hot issue. She invites some of her firms institutional clients to discuss it Consequently, when expressions of interest are obtained, the institutional clients oversubscribe. She then fills all the other orders, including one in her partners name, and decreases the institutional blocks. Mary has most likely violated the CFA Standard related to: Question Select one: a Diligence and Reasonable Basis. b Disclosure of Conflicts. c Fair Dealing.
Mary, a CFA holder, works for an investment and brokerage firm. She discovers that a small company in the real estate industry is going public and believes it to be a hot issue. She invites some of her firms institutional clients to discuss it Consequently, when expressions of interest are obtained, the institutional clients oversubscribe. She then fills all the other orders, including one in her partners name, and decreases the institutional blocks. Mary has most likely violated the CFA Standard related to:
Question Select one:
a
Diligence and Reasonable Basis.
b
Disclosure of Conflicts.
c
Fair Dealing.
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