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Special Report on

Soft Dollar Standards

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Members and Candidates have a duty of loyalty to their clients and must act with reasonable care and exercise prudent judgment. Members and Candidates must act for the benefit of their clients and place their clients' interests before their employer's or their own interests. In relationships with clients, Members and Candidates must determine applicable fiduciary duty and must comply with such duty to persons and interests to whom it is owed. Reasoning behind Standard III-A A  fiduciary is an individual or institution that has established a relationship of trust and confidence with an individual or a group (the ...
A soft dollar arrangement is one in which the investment manager directs the commission generated by the transaction towards a third party or in-house party in exchange for services that are for the benefit of the client but are not client directed. 2 Soft dollars, in contrast to hard dollars (actual cash), which have to be reported , are incorporated into brokerage fees and paid expenses, which may not be reported directly. Registered Investment Companies generally comply with the limitations detailed in Section 28(e) of the Securities Exchange Act of 1934 but hedge funds , which are generally not registered, are not subject to ...
CFA Notes: Ethics (For all Three Levels) 1. CFAI's Mission To ...
To serve its members and, through them, to serve investors as a global leader in educating and examining investment managers and analysts and in sustaining high standards of professional conduct. Develop : provide global leadership in the development of a code of ethics and standard of professional conduct; Promote : promote high standards of ethical and professional conduct globally; Educate : educate members on day to day ethical issues; Increase : increase awareness within the investment profession; Apply : apply code and standards in daily practice; 2. Four components of the code of ethics Act with DICE (dignity, integrity, ... market research, surveys and trends
"The world ain't all sunshine and rainbows. It's a very mean and nasty place and I don´t care how tough you are, it will beat you to your knees and keep you there permanently, if you let it. You, me or nobody, is gonna hit as hard as life. But ain't about how hard you hit. It's about how hard you can get hit, and keep moving forward, how much you can take, and keep moving forward. That´s how winning is done. 1. Which of the following statements about fundamental responsibilities of members who practice in multiple jurisdictions is TRUE? A. In cases where federal law differs from CFA ... market research, surveys and trends


Mutual Funds: Additional Costs - Bogleheads
In addition to fund acquisition and /or redemption charges, and the fund expense ratio, funds incur additional expenses that are not included in the fund's expense ratio. These expenses include fund transaction expense due to the buying and selling of fund securities. In general, these transaction costs closely track a fund's annual turnover rate: the higher the turnover, the greater the transaction cost. For equity funds transaction expense can be broken down into: Brokerage Commission Expense Brokerage commission expense is quantified and reported each year in a fund's Statement of Additional Information. In a ... industry trends, business articles and survey research
to one-third of the $2.4 billion in gross commissions money managers generated in ..... 11 AIMR Soft Dollar Standards, 1998, Association of Investment .... points per quarter, or 3.7 percent annually (3.8 percent compounded quarterly). ... industry trends, business articles and survey research
Peregrine Announces Encouraging Comminution Test Results and New Drill ...
VANCOUVER, BRITISH COLUMBIA, Jul 08, 2010 (MARKETWIRE via COMTEX) -- Peregrine Metals Ltd. ("Peregrine" or "the Company") is pleased to report encouraging comminution test results from the first phase of the 2010 metallurgical test-work on the large Altar porphyry copper-gold deposit ("Altar") in San Juan Province, Argentina. Samples of the three main Altar host lithologies, porphyry, rhyolite and andesite, were subjected to various procedures to determine crushing work indices, ball mill grindability, abrasion indices and specific gravity. The results of this testing show that all three ... market trends, news research and surveys resources
Wall Street News Alert: Stock in Focus: HNHI -- July 8, 2010
Yesterday after the markets closed, H & H Imports Inc. (OTCBB: HNHI), a leading developer and distributor of products and services primarily through infomercials and other direct response channels of distribution, issued a press release announcing that its Board of Directors and shareholders holding a majority of its common stock have approved a change in the Company's name to IBC Global, Inc. and that it has filed an information statement with the S.E.C. relating to the name change. One of the Company's subsidiaries, "Inventors Business Center, LLC" ("IBC"), was founded to capitalize on the ... market trends, news research and surveys resources


UTIMCO Soft Dollar Policy and Procedures
soft dollar standards and are in compliance with those standards as they pertain to the management of Board accounts. Internal managers do not ... technology research, surveys study and trend statistics
Commission Guidance Regarding Client Commission Practices Under ...
review the adviser's compensation, including any “soft dollar” benefits the ...... For example, the ability to enforce client commission standards may ... technology research, surveys study and trend statistics
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What would happen to the American dollar if Chinese renminbi was ...
Many international currencies are pegged to the dollar, but the renminbi seems unique because the Chinese economy is so big now. Everything I read seems to indicate that the renminbi would rise significantly if it was no longer pegged to the dollar. Does it follow that the dollar would sink significantly? Would it be a modest dip? Or would there be no dip at all? The Chinese Yuan will rise against the dollar making their exports of goods and services to America more expensive. The Fed need to using fiscal and monetary policy to determine the real value of the dollar. There are currently no comments for this question. * You must ...
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