When a violation is suspected in a firm, what is the best course of action ? Warn the violator and report violation to the supervisor Place limits on the violators and increase his monitoring Which would be the preferred one ?  

What will be the answer and reasoning behind this?

Mr.X (supervisor) uses financial projections of company A from the research report created by Mr. Y (subordinate) and writes a memo to the director regarding the company without citing the source. However, he omits the fact that Mr. Y had ...

Blaze (nickname) just had new business cards printed as: Wojciech “Blaze” Blaszczykowski, CAIA, CFA Do the cards violate standard VII B – reference to CFA Institute, CFA designation & CFA program? No Yes, because “CFA” should come before “CAIA” Yes, the business cards should not ...

Which standard has been directly violated: violated IC Misrepresentation violated IA Knowledge of Law did not violate the codes and standards

Does this sentence mean that Kostecka (who is a CFA) acted on the information? If so, apart from violating Standard IA ...

Will this not be a violation of the preservation of confidentiality by discussing potential clients for marketing presentations?

Brian Patrick, CFA, has recently joined Northside Capital Advisers (Northside) as the firm’s assistant compliance officer. Northside manages individual accounts with conservative mandates for a variety of retirements funds, as well as individual accounts for high-net-worth investors with long ...

Can you please explain this question ?