Standard VI addresses conflicts of interest. It requires members and candidates to (1) make full disclosure of any matters that could impair their independence or objectivity or interfere with client duties, (2) ensure disclosures are clear and prominent, and (3) give priority to client and employer transactions over personal transactions. Members must also disclose any compensation received for referrals.
The standard 3 of the CFA (Certified Financial Analyst) is described in the following order
(Duties to Clients)
1. Standard iii (A)
2. Standard iii (B)
3. Standard iii (C)
4. Standard iii (D)
5. Standard iii (E)
All the topics are described based on the key points on the standard and then after each of the standards, the way to follow for compliance is also described.
Lastly, relevant examples are given under each section to make the readings more clear and understandable.
IA Watch/Assette: Advertising & Marketing Compliance Webinar on 1/26/16 Assette
IA Watch and Assette webinar entitled, “Advertising & Marketing: Best Practices to Tackle This Perennial Challenge and Avoid Compliance Missteps” on Tuesday, January 26, 2016.
Hear critical do’s and don’ts to keep your firm on the right side of Commission advertising rules (and its many no-action letters).
* The often-blurred lines drawn by the SEC’s advertising and marketing rules.
* How to mitigate risks when marketing materials are coming from many all over the firm.
* Ways automation can minimize marketing operational, regulatory and reputational risks.
The standard 3 of the CFA (Certified Financial Analyst) is described in the following order
(Duties to Clients)
1. Standard iii (A)
2. Standard iii (B)
3. Standard iii (C)
4. Standard iii (D)
5. Standard iii (E)
All the topics are described based on the key points on the standard and then after each of the standards, the way to follow for compliance is also described.
Lastly, relevant examples are given under each section to make the readings more clear and understandable.
IA Watch/Assette: Advertising & Marketing Compliance Webinar on 1/26/16 Assette
IA Watch and Assette webinar entitled, “Advertising & Marketing: Best Practices to Tackle This Perennial Challenge and Avoid Compliance Missteps” on Tuesday, January 26, 2016.
Hear critical do’s and don’ts to keep your firm on the right side of Commission advertising rules (and its many no-action letters).
* The often-blurred lines drawn by the SEC’s advertising and marketing rules.
* How to mitigate risks when marketing materials are coming from many all over the firm.
* Ways automation can minimize marketing operational, regulatory and reputational risks.
Understanding RIA Channel Dynamics by LINK Portfolio AlternativesDarren Whissen
For alternative investment sponsors. A study on how RIAs view alternative investments, the market potential they represent, and best practices on developing an RIA-focused capital markets channel.
Do you need to know about Financial (MiFID II) Product Governance? I have written a guide to help those needing more understanding on what Product Governance is. Let me know if you want any further guidance.
Original air date: Dec. 21, 2017
Rebroadcast and recording info at http://www.mhmcpa.com
This quarterly webinar will bring you up-to-date on hot topics, technical matters and current events impacting financial reporting and the accounting profession.
Professionals from CBIZ and MHM will discuss recent happenings at the Financial Accounting Standards Board, American Institute of Certified Public Accountants, Securities and Exchange Commission, Public Company Accounting Oversight Board and other relevant governance bodies. We will also touch on recent tax changes and proposed legislation.
Before going to market to sell your business, you or your executive team may want to obtain an independent appraisal. Likewise, prospective buyers may wish to obtain expert services to value an acquisition target or discrete portions of a target. This webinar provides a look into how valuation experts place a value on a going concern.
Part of the webinar series: Valuation 2021
Bid & Protest: What to do before you run to your lawyer?Proposal Helper
Protests have become the competitive weapons as more and more companies enter the GovCon scene. When you receive an “Unsuccessful Offeror” letter and you have processed your emotions, it’s time to think straight and get to work. Before you run to your legal counsel to file a protest, there are several things you can do to be prepared.
Understanding RIA Channel Dynamics by LINK Portfolio AlternativesDarren Whissen
For alternative investment sponsors. A study on how RIAs view alternative investments, the market potential they represent, and best practices on developing an RIA-focused capital markets channel.
Do you need to know about Financial (MiFID II) Product Governance? I have written a guide to help those needing more understanding on what Product Governance is. Let me know if you want any further guidance.
Original air date: Dec. 21, 2017
Rebroadcast and recording info at http://www.mhmcpa.com
This quarterly webinar will bring you up-to-date on hot topics, technical matters and current events impacting financial reporting and the accounting profession.
Professionals from CBIZ and MHM will discuss recent happenings at the Financial Accounting Standards Board, American Institute of Certified Public Accountants, Securities and Exchange Commission, Public Company Accounting Oversight Board and other relevant governance bodies. We will also touch on recent tax changes and proposed legislation.
Before going to market to sell your business, you or your executive team may want to obtain an independent appraisal. Likewise, prospective buyers may wish to obtain expert services to value an acquisition target or discrete portions of a target. This webinar provides a look into how valuation experts place a value on a going concern.
Part of the webinar series: Valuation 2021
Bid & Protest: What to do before you run to your lawyer?Proposal Helper
Protests have become the competitive weapons as more and more companies enter the GovCon scene. When you receive an “Unsuccessful Offeror” letter and you have processed your emotions, it’s time to think straight and get to work. Before you run to your legal counsel to file a protest, there are several things you can do to be prepared.
This is a presentation by Dada Robert in a Your Skill Boost masterclass organised by the Excellence Foundation for South Sudan (EFSS) on Saturday, the 25th and Sunday, the 26th of May 2024.
He discussed the concept of quality improvement, emphasizing its applicability to various aspects of life, including personal, project, and program improvements. He defined quality as doing the right thing at the right time in the right way to achieve the best possible results and discussed the concept of the "gap" between what we know and what we do, and how this gap represents the areas we need to improve. He explained the scientific approach to quality improvement, which involves systematic performance analysis, testing and learning, and implementing change ideas. He also highlighted the importance of client focus and a team approach to quality improvement.
Synthetic Fiber Construction in lab .pptxPavel ( NSTU)
Synthetic fiber production is a fascinating and complex field that blends chemistry, engineering, and environmental science. By understanding these aspects, students can gain a comprehensive view of synthetic fiber production, its impact on society and the environment, and the potential for future innovations. Synthetic fibers play a crucial role in modern society, impacting various aspects of daily life, industry, and the environment. ynthetic fibers are integral to modern life, offering a range of benefits from cost-effectiveness and versatility to innovative applications and performance characteristics. While they pose environmental challenges, ongoing research and development aim to create more sustainable and eco-friendly alternatives. Understanding the importance of synthetic fibers helps in appreciating their role in the economy, industry, and daily life, while also emphasizing the need for sustainable practices and innovation.
Instructions for Submissions thorugh G- Classroom.pptxJheel Barad
This presentation provides a briefing on how to upload submissions and documents in Google Classroom. It was prepared as part of an orientation for new Sainik School in-service teacher trainees. As a training officer, my goal is to ensure that you are comfortable and proficient with this essential tool for managing assignments and fostering student engagement.
Ethnobotany and Ethnopharmacology:
Ethnobotany in herbal drug evaluation,
Impact of Ethnobotany in traditional medicine,
New development in herbals,
Bio-prospecting tools for drug discovery,
Role of Ethnopharmacology in drug evaluation,
Reverse Pharmacology.
How to Create Map Views in the Odoo 17 ERPCeline George
The map views are useful for providing a geographical representation of data. They allow users to visualize and analyze the data in a more intuitive manner.
Welcome to TechSoup New Member Orientation and Q&A (May 2024).pdfTechSoup
In this webinar you will learn how your organization can access TechSoup's wide variety of product discount and donation programs. From hardware to software, we'll give you a tour of the tools available to help your nonprofit with productivity, collaboration, financial management, donor tracking, security, and more.
Unit 8 - Information and Communication Technology (Paper I).pdfThiyagu K
This slides describes the basic concepts of ICT, basics of Email, Emerging Technology and Digital Initiatives in Education. This presentations aligns with the UGC Paper I syllabus.
The Roman Empire A Historical Colossus.pdfkaushalkr1407
The Roman Empire, a vast and enduring power, stands as one of history's most remarkable civilizations, leaving an indelible imprint on the world. It emerged from the Roman Republic, transitioning into an imperial powerhouse under the leadership of Augustus Caesar in 27 BCE. This transformation marked the beginning of an era defined by unprecedented territorial expansion, architectural marvels, and profound cultural influence.
The empire's roots lie in the city of Rome, founded, according to legend, by Romulus in 753 BCE. Over centuries, Rome evolved from a small settlement to a formidable republic, characterized by a complex political system with elected officials and checks on power. However, internal strife, class conflicts, and military ambitions paved the way for the end of the Republic. Julius Caesar’s dictatorship and subsequent assassination in 44 BCE created a power vacuum, leading to a civil war. Octavian, later Augustus, emerged victorious, heralding the Roman Empire’s birth.
Under Augustus, the empire experienced the Pax Romana, a 200-year period of relative peace and stability. Augustus reformed the military, established efficient administrative systems, and initiated grand construction projects. The empire's borders expanded, encompassing territories from Britain to Egypt and from Spain to the Euphrates. Roman legions, renowned for their discipline and engineering prowess, secured and maintained these vast territories, building roads, fortifications, and cities that facilitated control and integration.
The Roman Empire’s society was hierarchical, with a rigid class system. At the top were the patricians, wealthy elites who held significant political power. Below them were the plebeians, free citizens with limited political influence, and the vast numbers of slaves who formed the backbone of the economy. The family unit was central, governed by the paterfamilias, the male head who held absolute authority.
Culturally, the Romans were eclectic, absorbing and adapting elements from the civilizations they encountered, particularly the Greeks. Roman art, literature, and philosophy reflected this synthesis, creating a rich cultural tapestry. Latin, the Roman language, became the lingua franca of the Western world, influencing numerous modern languages.
Roman architecture and engineering achievements were monumental. They perfected the arch, vault, and dome, constructing enduring structures like the Colosseum, Pantheon, and aqueducts. These engineering marvels not only showcased Roman ingenuity but also served practical purposes, from public entertainment to water supply.
2. Code of Ethics & Standards
Professionalism
Integrity of Capital
Markets
Duties to Clients
Duties to
Employers
Investment
Analysis,
Recommendations,
and Actions
Conflicts of Interest
3. Standard VI - Conflict of Interest
Disclosure
of Conflicts
Priority of
Transactions
Referral
Fees
4. Standard VI (A) - Disclosure of Conflicts
•Members and Candidates must make full and fair
disclosure of all matters that could reasonably be
expected to impair their independence and objectivity
or interfere with respective duties to their clients,
prospective clients, and employer.
•Members and Candidates must ensure that such
disclosures are prominent, are delivered in plain
language, and communicate the relevant information
effectively.
5. Standard VI (B) - Priority of Transactions
•Investment transactions for clients and
employers must have priority over
investment transactions in which a
Member or Candidate is the beneficial
owner.
6. Standard VI(C) - Referral Fees
•Members and Candidates must disclose to their
employer, clients, and prospective clients, as
appropriate, any compensation, consideration,
or benefit received from or paid to others for the
recommendation of products or services.