1. Which of the following is not considered a financial ethics problem area? a.

Question

1. Which of the following is not considered a financial ethics problem area?

a. Brokering a building owned by a company in which you have a 50% ownership interest without disclosing that to the prospective purchaser.

b. Giving prospective customers a list showing naming your top 5 accounts and how much money your firm manages for each.

c. Telling prospective customers that if they give you $10,000 and refer 3 customers that will invest each $10,000, then you will let them invest in a currency arbitrage opportunity that will pay them a return of 10% per year regardless of market performance.

d. Setting a price on an IPO, so that demand for its shares will be greater than the amount of shares that will be issued.

Explanation / Answer

Answer-1

b. Giving prospective customers a list showing naming your top 5 accounts and how much money your firm manages for each.

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