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Home/8.2 CFA Level 2/Ethics (CFA L2)

SSEI QForum Latest Questions

deepanshu k
  • 0
deepanshu kPro
Asked: June 28, 2022In: Ethics (CFA L2)

Isn’t she have violated while sharing the growth opportunities with that client prior to meeting?

  • 0

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 ...

  • 0 0 Answers
  • 6 Views
  • 0 Followers
Answer
Rahul Gandhi
  • 0
Rahul GandhiAdvanced
Asked: June 13, 2022In: Ethics (CFA L2)

Ethics Guidance for Standards

  • 0

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 ...

  • 1 1 Answer
  • 18 Views
  • 0 Followers
Answer
Abhishek Chaudhary
  • 0
Abhishek ChaudharyPro
Asked: June 2, 2022In: Ethics (CFA L2)

Ethical and Professional

  • 0

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 ...

  • 2 2 Answers
  • 14 Views
  • 1 Follower
Answer
ankit.mehta
  • 1
ankit.mehtaIntermediate
Asked: May 15, 2022In: Ethics (CFA L2)

Ethics Standard III (A)

  • 1

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 ...

Ethics Standard III (A)
  • 1 1 Answer
  • 14 Views
  • 1 Follower
Answer
R_S
  • 0
R_SPro
Asked: April 26, 2022In: Ethics (CFA L2)

Ethics

  • 0

  • 1 1 Answer
  • 18 Views
  • 0 Followers
Answer
Abhishek Chaudhary
  • 0
Abhishek ChaudharyPro
Asked: April 13, 2022In: Ethics (CFA L2)

Ethics

  • 0

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 ...

  • 2 2 Answers
  • 15 Views
  • 0 Followers
Answer
Abhishek Chaudhary
  • 0
Abhishek ChaudharyPro
Asked: April 10, 2022In: Ethics (CFA L2)

Ethics

  • 0

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 ...

  • 1 1 Answer
  • 17 Views
  • 0 Followers
Answer
Abhishek Chaudhary
  • 1
Abhishek ChaudharyPro
Asked: April 8, 2022In: Ethics (CFA L2)

Ethical and Professional Standards

  • 1

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 ...

  • 3 3 Answers
  • 26 Views
  • 3 Followers
Answer
tushar1804@gmail.com
  • 0
tushar1804@gmail.comIntermediate
Asked: March 27, 2022In: Ethics (CFA L2)

How is it a violation of the standard relating to loyalty to employer?

  • 0

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 ...

  • 3 3 Answers
  • 22 Views
  • 0 Followers
Answer
tushar1804@gmail.com
  • 0
tushar1804@gmail.comIntermediate
Asked: March 17, 2022In: Ethics (CFA L2)

Shouldn’t a companny release all kinds of material information?

  • 0

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 ...

  • 1 1 Answer
  • 19 Views
  • 0 Followers
Answer
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