微信扫一扫
实时资讯全掌握
| Anna Saar, CFA, is the head of compliance for Tranne Advisory Services, a regional financial services group including asset management, investment banking, and stock brokerage entities. Reviewing a draft client investment management agreement for the asset management unit, she is concerned the relationships between the firm’s various business units are not properly disclosed. To prevent violating CFA Institute Standard VI (A) Disclosure of Conflicts, which of the following should least likely be addressed in the investment management agreement? A:The group subsidizes staff loans for share purchases. B:Management fees are frequently loss leaders for brokerage. C:Asset managers are likely to support corporate finance deals. |
暂无解析 |