Latest NMIMS solutions April-May 2023-Has Juliet violated the CFA Institute Code of Ethics and Standards of Professional Conduct relating to? Explain
Latest NMIMS solutions April-May 2023-Has Juliet violated the CFA Institute Code of Ethics and Standards of Professional Conduct relating to? Explain
Latest NMIMS solutions April-May 2023-Has Juliet violated the CFA Institute Code of Ethics and Standards of Professional Conduct relating to? Explain
Latest NMIMS solutions April-May 2023-Has Juliet violated the CFA Institute Code of Ethics and Standards of Professional Conduct relating to? Explain
Ethical and Professional Standards
Arohi has just resigned from her position as a portfolio manager at Parkers and Spence Assets Inc. to start her own independent practice. To save time, Arohi makes use of the computer models she made at Parkers and Spence Assets Inc. that were saved on her computer and also uses public directories to contact her former clients whose names she can recall. Has Arohi violated the Code and Standards? Kindly justify your answer with the relevant standard. (10 Marks)
Toshak Jain, CFA diligently manages large-cap equity portfolios for his clients. However, recently due to a recession, the performance of large-cap equity markets has not been promising. Considering the situation, Toshak reduces the equity exposure of his clients and invests in low-risk fixed-income investments. Toshak most likely violated the CFA Institute Standards of Professional Conduct regarding:
Diligence and reasonable basis.
Misrepresentation.
Suitability.
Kindly justify the answer by selecting one of the options from above relating to relevant Standard. (10 Marks)
Kaizen Shaikh is a portfolio manager for Shell Inc., an investment advisory and brokerage firm. He reports to Juliet Francis CFA, who is the CFO of Shell. Daley is in charge of an aggressive growth equity fund and Cross Retirement Plan, a defined contribution plan for the employees of Shell. Kaizen sometimes places purchase and sale orders with a Commodity Index without completing an internal transaction form. No written operating procedures or compliance manual concerning commodity trades exists.
Has Juliet violated the CFA Institute Code of Ethics and Standards of Professional Conduct relating to? Explain
Disclosure of Conflicts
Misconduct
Responsibilities of Supervisors (5 Marks)
What should be the appropriate approach for this situation? Justify (5 Marks)
Has Juliet violated the CFA Institute Code of Ethics and Standards of Professional Conduct relating to? Explain
Welcome to Case Study Help
We at Case Study offer all types of online academic assistance, be it homework help, coursework help, case study help, Assignment help, Project Reports, Thesis, Research paper writing help.
And for each service, each subject and each topic, we dedicate an expert writer who has knowledge in that specific field of study. Experience impeccable academic writing service like never before.
Our experts understand that the time of the customers is very precious. The professors of universities and colleges are very rigorous about the submission deadlines of projects or assignments. Hence, the key objective of our case study help service is to deliver the assignments to the customers even before the promised submission deadlines.
We keep the quality measures for all papers which mean we will provide best essays. Our editing services are also excellent. Before submitting any essays, we will check whether the papers writer well or not. The high standards of academic writing will exceed your expectations. With our quality service, we have satisfied more number of people across the world and also work with different universities in Australia, UK, USA, Dubai, Oman, etc.
