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 ...

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 ...

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 ...

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 ...

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

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

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

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 ...

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 ...