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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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Martin Rockenfeldt

Martin Rockenfeldt

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