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Subject 4. JR and Associates PDF Download
The case discusses many standards.
Standard III (B) - Fair Dealing
Don't discriminate against any clients when disseminating investment recommendations or taking investment actions.
Standard VI (C) - Conflicts of Interests - Referral Fees
The disclosure of referral fees must be done, and must happen BEFORE the client enters into a formal agreement.
Standard III (E) - Preservation of Confidentiality
Don't share clients' information until it's explicitly approved by clients.
Standard I (B) - Independence and Objectivity
Perks like donations or excessive gifts might compromise professionals' independence and objectivity.
Standard IV (A) - Loyalty
(not violated) You may contact your former employer's clients after you leave the firm.
Standard VII (A) - Conduct as Members and Candidates in the CFA Program
Just don't talk about specific topics/questions on the real exam!
Standard VII (B) - Reference to CFA Institute, the CFA Designation, and the CFA Program
To be a CFA charterholder, you must pass all three levels and have the required four years' of work experience.
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I passed! I did not get a chance to tell you before the exam - but your site was excellent. I will definitely take it next year for Level II.
Tamara Schultz
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