Do you want BuboFlash to help you learning these things? Or do you want to add or correct something? Click here to log in or create user.



D. Misconduct
#analyst-notes #code-of-ethics-and-standards-of-professional-conduct
Example 1

An investment advisor executes excessive trading volume to generate fees. He tells clients that the high level of trading in their discretionary accounts is needed to maintain proper diversification. If this statement is misrepresentative, the advisor is clearly engaging in professional misconduct.
If you want to change selection, open original toplevel document below and click on "Move attachment"


Summary

statusnot read reprioritisations
last reprioritisation on suggested re-reading day
started reading on finished reading on

Details


Discussion

Do you want to join discussion? Click here to log in or create user.