Product details

Late on a Friday afternoon, an investment advisor at the Toronto, Ontario branch of Reese, Gordon, and Company must decide whether to process an order made by a client''s husband. This was the fifth time that the husband, who had no trading authority over the account, had made such a request since the account was opened nearly two months previously. The primary objective of this case series is to explore the issue of dealing with a regulator investigating a possible breach of ethics and/or contravention of rules. Students are given the ethical dilemma of making a third party transaction without speaking to the account holder. (A sequel to this case is available, titled Peter Farber (B), case ''9A98N034''.) There is a simplified Chinese version available ''9A98NC33''. There is a Taiwan-Traditional Chinese version available ''9A98NT33''.