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

SSEI QForum Latest Questions

Hardik pandya
  • 0
Hardik pandyaBeginner
Asked: September 1, 2023In: Ethics (CFA L3)

AMC and GIPS

  • 0

Is Risk role equivalent to operational or investment personnel….

  • 2 Answers
  • 32 Views
  • 0 Followers
Answer
HITARTH
  • 0
HITARTHIntermediate
Asked: August 27, 2023In: Ethics (CFA L3)

Asset manager code why option c is incorrect?

  • 0

  • 1 Answer
  • 28 Views
  • 0 Followers
Answer
Neel
  • 0
NeelPro
Asked: August 27, 2023In: Ethics (CFA L3)

Ethics – Essay Type Approach

  • 0

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, ...

  • 1 Answer
  • 33 Views
  • 0 Followers
Answer
Neel
  • 0
NeelPro
Asked: August 27, 2023In: Ethics (CFA L3)

Ethics – Standard VC – Record Retention

  • 0

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 ...

  • 1 Answer
  • 44 Views
  • 1 Follower
Answer
Neel
  • 0
NeelPro
Asked: August 26, 2023In: Ethics (CFA L3)

Doubt – Ethics

  • 0

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. ...

  • 1 Answer
  • 42 Views
  • 0 Followers
Answer
Smit
  • 0
SmitIntermediate
Asked: August 15, 2023In: Ethics (CFA L3)

GIPS- Inclusion of a portfolio in a composite

  • 0

I think during the classes, this question was marked as B ie. When assets are substantially invested, what is the correct answer?

GIPS- Inclusion of a portfolio in a composite
  • 1 Answer
  • 43 Views
  • 0 Followers
Answer
radhikadhoot
  • 0
radhikadhootBeginner
Asked: August 15, 2023In: Ethics (CFA L3)

Ethics standrads number is required ?

  • 0

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

  • 1 Answer
  • 31 Views
  • 0 Followers
Answer
Ankush Prajapati
  • 0
Ankush PrajapatiPro
Asked: August 9, 2023In: Ethics (CFA L3)

CFA L3 – Ethics – Code and Standard

  • 0

Hi Team, As per attached image solution – Why answer can not be Option C? Is it because he may work with Dragon.com on consulting basis – and not in employee employer relationship? Pls clarify Thank you, Ankush

CFA L3 – Ethics – Code and Standard
  • 2 Answers
  • 29 Views
  • 0 Followers
Answer
HITARTH
  • 0
HITARTHIntermediate
Asked: August 4, 2023In: Ethics (CFA L3)

application of code and standards record retention

  • 0

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 ...

  • 1 Answer
  • 35 Views
  • 0 Followers
Answer
HITARTH
  • 0
HITARTHIntermediate
Asked: July 31, 2023In: Ethics (CFA L3)

ethics code and standard

  • 0

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: ...

  • 3 Answers
  • 61 Views
  • 0 Followers
Answer
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