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Fern Baldwin, CFA, as a representative for Fernholz Investment Management, is compensated by a base salary plus a percentage of fees generated. In addition, she receives a quarterly performance bonus on a particular client’s fee if the client’s account increases in value by more than 2 points over a benchmark index. Baldwin had a meeting with a prospect in which she described the firm’s investment approach but did not disclose her base salary, percentage fee, or bonus.
Baldwin has: A. violated the Standards by not disclosing her salary, fee percentage, and performance bonus. B. not violated the Standards because there is no conflict of interest with a potential prospect in the employment arrangements. C. violated the Standards by not disclosing her performance bonus. |