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| 1.Henrietta Huerta, CFA, writes a free investment newsletter widely followed by individual investors. Huerta is not aware of who receives the newsletter but it is the primary marketing tool she uses to obtain investment management clients for those who contact her and are willing to pay management fees. For Huerta, the newsletter recommendations serve as the basis for most of her investment actions. Huerta recently completed research on East-West Coffee Roasters (ECR) and has decided to change her initial buy recommendation on ECR to a sell. To avoid violating the CFA Institute Standards of Professional Conduct, Huerta should most likely ensure that the changed investment recommendation reaches: A: A.newsletter recipients first. |
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