Carlyle remains impressed with Paladin’s growth opportunities and attention to customer satisfaction. Robinson asks Carlyle to meet with several potential new clients for Marietta. He believes that demonstrating his direct access to Street research analysts will help him gain ...
SSEI QForum Latest Questions
The first video of the Ethics Guidance for standards I-VII in the Ulurn app directly starts from Standard 3 i.e Duties to the clients. I am not sure whether there is any classed missed in the app or we just have ...
a research analyst issue a “Strong Buy” recommendation for a particular stock with high risk tolerance level for 6 months, The report was approved by her supervisor before being disseminated to all clients portfolio manager reviews the accounts under his management ...
ankit.mehtaIntermediate
Hi , Can somebody clarity and interpret & explain this line in the given screenshot . ” South AM accepts commission dollars at a ratio…….trip” . This seems to be related to soft dollars but soft dollars as a concept ...
If the analyst of a firms is having some Material non public information about a company. And if he place that company into a restricted trading list. Then it’s a signal to the market that something is fishy that is why ...
There is an investment Advisor firm it is doing business with brokerage firm for a particular account trades. And that brokerage firm provide him with information about tax free investment which is not relevant for this account. But it also offers ...
There is Mr.X how has recently pass CFA level 2 Exam in February 2022, And he has Started Working in the Firm as a Research analyst. In the meantime he did not registered for the CFA Level 3 Exam, So ...
tushar1804@gmail.comIntermediate
Crawfood recently hired Lillian Voser, a CFA Level II candidate, as a controller. On Voser’s first day of work, the head of personnel informs her that by signing the employment contract, Voser agrees to comply with the company’s code of ...
B is incorrect, because requiring the release of all material information could harm the interests of investors. Not all material information is meant for the public’s knowledge. As such, releasing this type of information, for example, could cause a company ...