Did Othan violate the CFA Institute Code and Standards by not disclosing to clients that he was receiving $500 for each client that he brought over to JRA from Sack? No Yes, because this is a referral fee Yes, because this is additional ...

Hi Team, We CAN NOT use CFA designation before our Name (like CA does) but it has to be used mandatorily after one’s Name. This is what my understanding is – pls confirm whether I am Correct in this regard?  

Colleen Collins, a research analyst, approaches McGuinn, concerned that she may be in possession of insider information. Collins relates that she was at a party the night before and overheard a conversation between two CEOs of competing, publicly listed manufacturing ...

Erik Brecksen, CFA, a portfolio manager at Apfelbaum Kapital, recently recruited Hans Grohl, a CFA candidate and recent MBA graduate from a top university with excellent quantitative analysis skills. Apfelbaum Kapital stresses “top-down” fundamental analysis and uses a team approach ...

Adam Craw, CFA, is chief executive officer (CEO) of Crawfood, a European private equity firm specializing in food retailers. The retail food industry has been consolidating during the past two years as private equity funds have closed numerous deals and ...

Samuel Telline, CFA, is a portfolio manager at Aiklin Investments with discretionary authority over all of his accounts. One of his clients, Alan Caper, Chief Executive Officer (CEO) of Ellipse Manufacturing, invites Telline to lunch. At the restaurant, the CEO reveals ...

Sir, I have completed all my 10 topics but don’t know why inspite of doing so many ethics questions, I am not being able to solve the questions correctly. I faced this same problem in L1. Probably ethics doesn’t suit ...

Can CFA Institute impose fine on Members and candidates as sanctions ?

If you know something is going illegal What should be the first action Disassociation or informing supervisor first