why policy 3 is consistent ? “All clients”??
SSEI QForum Latest Questions
Pls, Explain Why the Highlighted Statement is not a violation?
Isn’t statement 2 violating (5-B) i.e. communication with clients by not differentiating between a fact and an opinion instead of Standard (1-c) Misrepresentation?
can some one please explain how it works in real life ? how withdrawing act as a tip to outsiders ? i did’nt get this .
what is the main difference between an equity analyst and a research analyst ?? and does research analyst , advisor both sees suitability of client ?? and who is responsible for thoroughness (aka due diligence )of research report ?
Hi Team, As we know token gifts are allowed to accept. Further I wanted to know what amount of gift will be considered as token gifts? Will it be given as token gift in item sets in exam? Pls clarify on this as I ...
Hi Team, Could you please explain me how recommendation 2 is correct in attached image? Thanks
Hi Team, Could you please elaborate more on directed brokerage arrangements with simple example? Thanks