To be gips compliant - Study guides, Class notes & Summaries

According to the CFA Institute Code of Ethics and Standards of Professional Conduct, trading on material nonpublic information is least likely to be prevented by establishing: Selective Disclosure After a firm presents a minimum required number of years of GIPS-compliant performance, the firm must present an additional year of performance each year, building up to a minimum of: 10 years of GIPS-compliant performance After a firm presents a minimum of five years of GIPS-compliant perfor...

CFA Level 1 CFAI Mock Exam Questions With Correct Answers And Illustrations 2023

CFA Level 1 CFAI Mock Exam I (AM) Questions and Answers 2024( A+ GRADED 100% VERIFIED).

Can you initiate coverage on a company that is a potential client? - Yes - as long as the recommendation is not unjustifiably favorable Tender Offers - Mat., non-pub info -> can't use! To be GIPS compliant, a firm must adopt: - the broadest definition of the firm *presented annually, to all clients

Can you initiate coverage on a company that is a potential client? - Yes - as long as the recommendation is not unjustifiably favorable Tender Offers - Mat., non-pub info -> can't use! To be GIPS compliant, a firm must adopt: -the broadest definition of the firm *presented annually, to all clients

If you were fired from a previous job and fail to tell your new employer is that a violation and if so of what? - ANSWER yes, misconduct. this information could potentially harm your new employer and he needs to know man! Degrees of price discrimination - ANSWER 1st degree-- know price that every consumer is willing to pay. 2nd degree-- price varies according to quantity demanded. sellers aren't able to distinguish classes or consumers. third degree-- charging different prices to different c...