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Home/8.3 CFA Level 3/Ethics (CFA L3)

SSEI QForum Latest Questions

Ankit chowdhary
  • 0
Ankit chowdharyPro
Asked: March 3, 2023In: Ethics (CFA L3)

Standard VII

  • 0

Here in q6, why option b is a violation? As its in our hand that if we do not sign PCP or pay membership due we cannot use CFA besides our name during that point of time. But for option ...

  • 1 1 Answer
  • 11 Views
  • 0 Followers
Answer
Jay Gala
  • 0
Jay GalaPro
Asked: February 18, 2023In: Ethics (CFA L3)

Frank Litman Case Scenario AND Vision 2020 Capital Partners Case Scenario – Compliance Officer under AMC

  • 0

Frank Litman Case Scenario Twain hires a compliance officer and subsequently experiences significant change during the following year. The compliance officer immediately begins to update the firm’s policies and procedures even though Twain adheres to the Asset Manager Code of Professional ...

  • 2 2 Answers
  • 16 Views
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Answer
Himanshi Rathi
  • 0
Himanshi RathiAdvanced
Asked: February 13, 2023In: Ethics (CFA L3)

GIPS Compliance

  • 0

Please explain Que 4.

GIPS Compliance
  • 1 1 Answer
  • 18 Views
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Answer
HITARTH
  • 0
HITARTHIntermediate
Asked: February 8, 2023In: Ethics (CFA L3)

application of code and standards

  • 0

Stephen Smith, CFA, works across from Chen on the trading desk at Omega. His seat is close to a speaker for the company’s squawk box, which is used to broadcast information about current analyst recommendations, news about market events, and ...

  • 1 1 Answer
  • 20 Views
  • 0 Followers
Answer
Pratik Agarwal
  • 0
Pratik AgarwalPro
Asked: February 4, 2023In: Ethics (CFA L3)

Ethics CFA Level 3

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Fraser Booth is a Level III CFA candidate working as a research analyst at Superior Investments, an asset management company domiciled in Country A. Local securities law prohibits firms and employees of those firms from holding, purchasing or otherwise trading ...

  • 2 2 Answers
  • 19 Views
  • 1 Follower
Answer
Dipesh Agarwal
  • 0
Dipesh AgarwalPro
Asked: February 3, 2023In: Ethics (CFA L3)

GIPS (ETHICS)

  • 0

Q13 Kindly explain why is option B not the correct answer?

  • 1 1 Answer
  • 25 Views
  • 1 Follower
Answer
Neel Doshi
  • 0
Neel DoshiIntermediate
Asked: January 31, 2023In: Ethics (CFA L3)

Ethics – Doubt

  • 0

Got the answer to the question.. Could not find the delete option.. So removed the question content

  • 1 1 Answer
  • 20 Views
  • 0 Followers
Answer
Aman Ladsaria
  • 0
Aman LadsariaAdvanced
Asked: January 24, 2023In: Ethics (CFA L3)

Ethics in AM session

  • 0

Just wanted to check if questions on ethics can come as essay type questions or only Item set based MCQs.

  • 1 1 Answer
  • 26 Views
  • 0 Followers
Answer
Pratik Agarwal
  • 0
Pratik AgarwalPro
Asked: January 11, 2023In: Ethics (CFA L3)

Ethics level 3 cfa

  • 0

According to the recommendations of Section D(2) of the Asset Manager Code, where possible, the CCO should be independent from the investment and operations personnel and should report directly to the CEO or the board of directors. Doubt- Should CCO report to ...

  • 1 1 Answer
  • 18 Views
  • 0 Followers
Answer
Pratik Agarwal
  • 0
Pratik AgarwalPro
Asked: January 9, 2023In: Ethics (CFA L3)

Ethics CFA Level 3

  • 0

From time to time, PIA receives initial public offering (IPO) allocations from FTI. Danko allocates these IPOs to those discretionary accounts that normally participate in IPOs. If the IPO is oversubscribed, he excludes his wife’s discretionary non-fee-paying account so that ...

  • 1 1 Answer
  • 12 Views
  • 0 Followers
Answer
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