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Home/8.1 CFA Level 1/Ethics (CFA L1)

SSEI QForum Latest Questions

ajay1ahuja
  • 0
ajay1ahujaPro
Asked: November 8, 2023In: Ethics (CFA L1)

ETHICS CFA L1

  • 0

i think the option should be C but they have given option B as correct ans?? Taveras, CFA, leads an exam preparation course sponsored by his local society. The society hosts a celebration for the students after the exam is over. ...

  • 1 Answer
  • 62 Views
  • 0 Followers
Answer
Tushti
  • 0
TushtiPro
Asked: November 7, 2023In: Ethics (CFA L1)

GIPS- Compliance and Asset Owners

  • 0

Hello. What does this line mean? Asset owners may comply with the GIPS standards in the same way as firms if they compete for business. If they don’t compete for business but report their performance to an oversight body, asset ...

  • 1 Answer
  • 49 Views
  • 0 Followers
Answer
nidhigoyal2310
  • 0
nidhigoyal2310Beginner
Asked: November 7, 2023In: Ethics (CFA L1)

Global Investment Performance Standards (GIPS)

  • 0

Question from CFA institute:- Which of the following is part of the nine major sections of the GIPS® standards? Performance Fees Input Data Disclosure Solution B is correct. The major sections of the GIPS standards do not include performance fees or disclosure. ...

  • 3 Answers
  • 32 Views
  • 0 Followers
Answer
Lakshya2303
  • 0
Lakshya2303Intermediate
Asked: October 31, 2023In: Ethics (CFA L1)

Standards of Professional Conduct

  • 0

 Based on the Conflicts of Interest standard, members and candidates must:A. disclose, as required by law, those conflicts interfering with their professional duties.B. disclose, as appropriate, any benefit paid to others for the recommendationof products.C. seek ...

  • 3 Answers
  • 24 Views
  • 0 Followers
Answer
ajay1ahuja
  • 0
ajay1ahujaPro
Asked: October 31, 2023In: Ethics (CFA L1)

ETHICS CFA L1

  • 0

WHAT DOES THIS STATEMENT MEAN? COULDNT INTERPRET

ETHICS CFA L1
  • 1 Answer
  • 22 Views
  • 0 Followers
Answer
Tushti
  • 0
TushtiPro
Asked: October 30, 2023In: Ethics (CFA L1)

revised 11th edition, the Standards of Professional Conduct

  • 0

Q. As stated in the revised 11th edition, the Standards of Professional Conduct: require supervisors to focus on the detection and prevention of violations. adopt separate ethical considerations for programs such as CIPM and Investment Foundations. address the risks and limitations of ...

  • 1 Answer
  • 100 Views
  • 0 Followers
Answer
ajay1ahuja
  • 0
ajay1ahujaPro
Asked: October 28, 2023In: Ethics (CFA L1)

ETHICS CFA L1

  • 0

EXPLANATION IN SIMPLE WORDS. Anna Saar, CFA, is the head of compliance for Tranne Advisory Services, a regional financial services group including asset management, investment banking, and stock brokerage entities. Reviewing a draft client investment management agreement for the ...

  • 1 Answer
  • 25 Views
  • 0 Followers
Answer
Nihad
  • 0
NihadIntermediate
Asked: October 27, 2023In: Ethics (CFA L1)

CFA level 1

  • 0

can someone please explain why the answer is B not C. Its from Mock 2 Q12.

CFA level 1
  • 1 Answer
  • 49 Views
  • 0 Followers
Answer
Dhruvang Zaveri
  • 0
Dhruvang ZaveriIntermediate
Asked: October 23, 2023In: Ethics (CFA L1)

GIPS Ethics

  • 0

Which of the following is part of the nine major sections of the GIPS® standards? Performance Fees Input Data Disclosure Solution B is correct. The major sections of the GIPS standards do not include performance fees or disclosure. The major sections are: ...

  • 2 Answers
  • 23 Views
  • 0 Followers
Answer
ajay1ahuja
  • 0
ajay1ahujaPro
Asked: October 15, 2023In: Ethics (CFA L1)

ETHICS CFA L1

  • 0

how he is in a voilation if he has taken written consent from employer?? Jefferson Piedmont, CFA, a portfolio manager for Park Investments, plans to manage the portfolios of several family members in exchange for a percentage of each ...

  • 2 Answers
  • 117 Views
  • 0 Followers
Answer
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