Ethics

[2013 CFA Level 2 Group]

Use this discussion thread to ask and discuss queries related to Ethics Topic.

[Sahar merchant]

Please try to cover the following in your review video. ..Thanks
CFAI mocks:
2011 M:
Q3, 5

2011A:
Q4

2010M
Q1: Can an analyst share info with the subject company if its only factual? I thought nothing could be shared pre publishing?

Q2" Why B? She disclosed it to her employer!

2010A-
Q5: I thought could disclose just factual statements to the subject company - seems to contradict 2010M Q1 above?

Cfa books: 

R2:
Q13, 59, 60, 61

R3:
Q5

R10:
Q8, Q10 (can you please provide a little bit  more detailed summary for the New Prudent Rule?)

 
Q: if additional received from an independent practice which is NOT in conflict/compete with full time employment, is disclosure to the employer still required?

[M. Shuja ul Haq Siddiqui]

Plz elaborate Soft Dollar Standard VI requirement .

Regards,

M. Shuja ul Haq

On Mon, Apr 15, 2013 at 7:31 PM, 2013 CFA Level 2 Group <2013-cfa-le...@googlegroups.com> wrote:

Use this discussion thread to ask and discuss queries related to Ethics Topic.

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[Trade4u100]

Arif Sir,

Please can u specify what the difference (in the CFAI Ethics text) is between;

the blue box definition;
General advice; and
Recommendations

Are we responsible for remembering all these details or if we just remember the Blue box definition, will we be ok In the exam.

Thanks

[syed shujaat]

Dear Mr. Irfanullah:

i did not get the following questions:

reading 3--------practice problem 4.

please explain Principal Trade and Agency Trade----there is lot of confusion related to their definitions.

Regards,

S.Umair

On Mon, Apr 15, 2013 at 7:31 PM, 2013 CFA Level 2 Group <2013-cfa-le...@googlegroups.com> wrote:

Use this discussion thread to ask and discuss queries related to Ethics Topic.

--

[Arif Irfanullah]

Click on the link below for my video response to the questions posted under this discussion thread.

https://drive.google.com/#folders/0B9YOJD1WEzZdU3JpY1BwZGQ2ODA

[Sahar merchant]

[Sahar merchant]

Hi sir...still not sure if the following was answered in the video ...

2010A-
Q5: I thought it was allowed disclose just factual statements to the subject company - seems to contradict 2010M Q1 above?

Please clarify. ..thanks

[vaibhavapj]

Friends
Now i am focussing on ethics.
Any online material available anywhere which differentiates the recommended vs required in the last 3 main readings ?
Very tough to remember which is mandatory and which is recommended

I am looking for some online material on this
Thanks

सोमवार, 15 अप्रैल 2013 8:01:20 pm UTC+5:30 को, 2013 CFA Level 2 Group ने लिखा:

[Andrei Radu]

Guys,

can somebody please explain what exactly is the difference between an agency and a principal trade?

[christop...@gmail.com]

Per soft dollar definition agency trade refer to transaction involving payment of a commission whilst principal trade refers to transaction involving a discount or a spread. Soft dollar covers both arrangements.

Sent from my BlackBerry® device from Digicel

---

From: Andrei Radu <a.andr...@gmail.com>

Sender: 2013-cfa-le...@googlegroups.com

Date: Thu, 23 May 2013 00:41:15 -0700 (PDT)

To: <2013-cfa-le...@googlegroups.com>

Cc: <2013-cfa-le...@googlegroups.com>

Subject: Re: Ethics