Is Risk role equivalent to operational or investment personnel….

Many a times we come across questions, when we are sure of the answer (that a violation has indeed occured) but at times, the violation can be conflicting between two standards. In that case, in case of MCQ, ...

As we know or as stated in Sir’s notes, that records should be maintained for atleast 7 years as per CFA guidelines. But in this question it states that Vinken will maintain the records for 5 years as per regulator ...

In my view the entire statement is correct because as we know the codes and standards only apply to individuals and not to firms..but the solution says that Nano was wrong about CFAI Code of ethics and standards of professional conduct. ...

Do we need to write number of standard in answer in AM session ?–      

Khadri implements an electronic record-retention policy when she becomes the Westlake manager. In accordance with her policy, all records for the fund—including investment analyses, transactions, and investment-related communications with clients and prospective clients—are scanned and electronically stored. Vinken maintained the ...

As the first CFA candidate to be employed by Markoe, Nano has been asked to head a team that is reviewing the firm’s compliance policies and procedures, which Nano considers inadequate and incomplete. He states his concerns to President Markoe: ...