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Subject 5. Magadi asset management PDF Download
The case discusses many standards.

Standard III (E) Preservation of Confidentiality

Don't disclose confidential information without explicit permission from your client, even if the recepient does not act on the confidential information.

Standard IV (C) Responsibilities of Supervisors

Simply establishing policies and procedures is not good enough. They have to be "effective" and "sufficient" to ensure compliance.

Standard I (B) Independence and Objectivity

Members and Candidates must not offer any compensation that could be expected to compromise their own or another's independence and objectivity.

Standard V (B) Communication with Clients and Prospective Clients

Members and Candidates must disclose to clients and prospective clients the basic format and general principles of the investment processes. If there are significant changes, disclose!

Standard III (D) Performance Presentation

Showing past performance of a previous fund is ok, but disclosure is needed.

Standard II (A) Material Nonpublic Information

If disclosure of information could affect the price of a security, that information is considered to be material, and must not be acted on.

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