Fasea examples Flashcards by Christopher Young

Q

Providing execution only - but really advice

A

Standard 1 - Circumventing law

Standard 2 - Best interest and Integrity

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Q

Receiving Kickback from property developer

A

3 - Conflict

7 - Third party payments

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Q

Wholesale client with no investment experience

A

1 - Circumventing intent of law

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Q

Advice not based on relevant circumstances

A

2 - BID

Consider - 1 - fails corps act BID

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