Product details

By continuing to use our site you consent to the use of cookies as described in our privacy policy unless you have disabled them.
You can change your cookie settings at any time but parts of our site will not function correctly without them.
Compact case
Supplement
-
Reference no. 9A98NC34
Simplified Chinese language
Published by: Ivey Publishing
Originally published in: 1998
Version: 1998-08-27
Length: 2 pages
Data source: Published sources
Topics: Ethical issues

Abstract

This is the simplified Chinese version of ''9A98N034''. An investment advisor at the Toronto, Ontario branch of Reese, Gordon, and Company received a call from a seasoned investigator with the Special Investigations Unit (SPU) of the Investment Dealers Association. She was calling to inform him that the SPU had been called in to investigate the alleged mishandling of a client''s account. The regulator becomes involved in the transaction described in Peter Farber (A), case ''9A98N033'', once the investment advisor makes the trade and the account holder becomes aware of the unauthorized transaction. The investment advisor, who has effected similar transactions on other accounts, must decide on the best strategy of dealing with the regulator.
Location:
Size:
Small

About

Abstract

This is the simplified Chinese version of ''9A98N034''. An investment advisor at the Toronto, Ontario branch of Reese, Gordon, and Company received a call from a seasoned investigator with the Special Investigations Unit (SPU) of the Investment Dealers Association. She was calling to inform him that the SPU had been called in to investigate the alleged mishandling of a client''s account. The regulator becomes involved in the transaction described in Peter Farber (A), case ''9A98N033'', once the investment advisor makes the trade and the account holder becomes aware of the unauthorized transaction. The investment advisor, who has effected similar transactions on other accounts, must decide on the best strategy of dealing with the regulator.

Settings

Location:
Size:
Small

Related