msk2222's version from 2018-01-14 19:53

Section 1

Question Answer
relationship between code and standards and applicable lawcomply, not violate the code
participation in or association with violationstop, step away, dissociate
investment products and applicable lawssee where products are sold not just origin
Members and Candidatesstay informed, review procedures and maintain current files
Distribution area lawsapplicable laws
legal counselseek advice of legal counsel
dissociationdocument the violation and urge their firms to persuade perp
firmsdevelop and adopt own CoE, provide information on applicable laws, establish procedure for reporting violations
applicationsnotifying known violation, dissociation, following highest requirements, religious laws, report unethical actions, failure to maintain knowledge of the law

Section 2

Question Answer
Independence and objectivity highlightsbuy-side clients, fund manager and custodial relations, investment banking relationships, performance measurement and attribution, public companies, credit rating agency opinions, procurement process, issuer-paid research, travel funding