medium · CFA Level I Ethical and Professional Standards
An analyst at Oakridge Capital wants to purchase a private placement. The firm does not currently have any clients interested in or suitable for this private placement.
According to Standard VI(B):
- Participation is strictly prohibited as it could create a future conflict of interest.
- The analyst may participate after obtaining written consent from the employer.
- The analyst can participate without consent since no clients are currently suitable.
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