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CFA LEVEL 1 2013 BOOKS EPUB


Compliance procedures should be reviewed on an ongoing basis to assure that they address current law, CFAI Standards, and regulations. Members should maintain current reference materials for employees to access in order to keep up to date on laws, rules, and regulations.

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Members should seek advice of counsel or their compliance department when in doubt. Members should document any violations when they disassociate themselves from prohibited activity and encourage their employers to bring an end to such activity.

There is no requirement cfa level 1 2013 books the Standards to report violations to governmental authorities, but this may be advisable in some circumstances and required by law in others.

CFA LEVEL 1 2013 BOOKS EPUB

Members arc strongly encouraged to report other members' violations of the Code and Standards. Recommended Cfa level 1 2013 books Complillnce-Firms Members should encourage their firms to: Make available to employees information that highlights applicable laws and regulations.

Establish written procedures for reporting suspected violation of laws, regulations, or company policies. Members who supervise the creation and maintenance of investment services and products should be aware of and comply with the regulations and laws regarding such services and products both in their country of origin and the countries where they will be sold.

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Michael Allen works for a brokerage firm and is responsible for an underwriting of securities. A company official gives Allen information indicating that the financial statements Allen filed with the regulator overstate the issuer's earnings.

Allen seeks the advice of the brokerage firm's general counsel, who states that it would be difficult for the regulator to prove that Allen has been involved in any cfa level 1 2013 books.

Although it is recommended that members and candidates seek the advice of legal counsel, the reliance on such advice does not absolve cfa level 1 2013 books member or candidate from the requirement to comply with the law or regulation.

Allen should report this situation to his supervisor, seek an independent legal opinion, and determine whether the regulator should be notified of the error.

Kamisha Washington's firm advertises its past performance record by showing the 10year return of a composite cfa level 1 2013 books its client accounts.

However, Washington discovers that the composite omits the performance of accounts that have left the firm during the year period and that this omission has led to an inflated performance figure.

CFA LEVEL 1 2013 BOOKS EPUB

Washington is asked to use promotional material that includes the erroneous performance number when soliciting business for the firm. Misrepresenting performance is a violation of the Code and Standards. Although she did not calculate the performance herself, Washington would cfa level 1 2013 books assisting in violating this standard if she were to use the inflated performance number when soliciting clients.

CFA LEVEL 1 2013 BOOKS EPUB

She must dissociate herself from the activity. She can bring the misleading number to the attention of the person responsible for calculating performance, her supervisor, or the compliance department at her firm.

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If her firm is unwilling to recalculate performance, she must refrain from using the misleading promotional material and should notify the firm of her reasons. If the firm insists that she use the material, she should consider whether her obligation to dissociate from the activity cfa level 1 2013 books require her to seek other employment.

An employee of an investment bank is working on an underwriting cfa level 1 2013 books finds out the issuer has altered their financial statements to hide operating losses in one division.

These misstated data are included in a preliminary prospectus that has already been released.



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