Please refer attached picture
SSEI QForum Latest Questions
Hi, Do standards 3 (duty towards clients) and 4 (duty towards employer) are applicable for part-time or contract workers ? Is there any exception for them ? Please let me know
Plz clarify whether the third statement will lead to the violation or not
How come excerpt 2 is wrong? Shouldn’t final answer be A since both excerpts are in complaince with C/S??
Following this conversation, McGuinn feels it is necessary to enhance Forster’s rules and procedures when dealing with possible insider information. He recommends the following changes to the company’s policies and procedures: Recommendation 1: Stop market-making activities when in possession of material ...
Hi , Could anyone please help me which additional classes needs to be done from the ethics portion to cover extra L2 content that is different from L1
answer is C. why option A is not violation
In the movie Wall Street (1987), Gordon Gekko instructs Bud Fox to keep an eye on the British investor Wildman. Bud Fox is basically spying on where Wildman is going, where he is eating, etc. Here’s the relevant videos: Scene #1: ...
Is written consent of the employer required if a member/candidate undertakes additional work without any compensation (cash or kind) but competes with the employer? What if the firm where member/candidate works additionally neither pays the M/C nor competes with employer, still ...
How is this also not a violation of Standard 4.A.?? Traded on insider information then isn’t it violation of duties towards capital markets?