Standard VI(A)

Question 1

what is standard VI(A)

Answer 1

Conflicts of Interest - Disclosure of Conflicts

Question 2

explain Standard VI(A)

Answer 2

Members and Candidates must make full and fair disclosure of all matters that could reasonably be expected to impair their independence and objectivity or interfere with respective duties to their clients, prospective clients, and employer. Members and Candidates must ensure that such disclosures are prominent, are delivered in plain language, and communicate the relevant information effectively.

Question 3

basic COIs

Answer 3

duties to clients vs shareholders
security compensation as BOD
access to material nonpublic info