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Nancy Korthauer, CFA, has launched a new hedge fund called the Korthauer Tautology Fund and is actively soliciting clients from competitor’s firms. Client presentations are necessarily brief and often take place with the prospective client’s current investment advisor in the room. The Code and Standards require that: A. a prospective client’s current investment advisor not participate in meetings. B. member or candidate provide (on request) additional detail information which supports the abbreviated presentation. C. all client presentations provide a thorough review of all elements of the investment management process. Abbreviated presentations are forbidden. |