Northside Capital Advisers Case Scenario 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 ...
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After concluding his review, Blevin recommends to Spalding’s board of directors changes to the firm’s conflicts of interest policies. Blevin is concerned the staff may not be putting clients’ interests ahead of their own when trading for their personal accounts. ...
How they are writing in proposal 1, compensation? In proposal 3, reasonable basis? Can anyone explain?
The answer is B. But I think the answer should have been A. In option A, the investment manager is clear cut saying that “the bonds are GUARANTEED by the federal government”, when even a govt can collapse. And in option B, I ...
Why statement 3 cannot be the answer. Loyalty to employer and employer’s clients.
Why is policy 2 a violation? The core mentions “Members or candidates may undertake transactions in accounts for which they are a beneficial owner only after their clients and employers have had adequate opportunity to act on a recommendation.”
how does this statement can right ? bcz in earlier they mention marrita is client of Woodstock and Carlyle is an analyst of Woodstock and Robinson is a portfolio manager at marrita and use carlylr research