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erma4kov [3.2K]
3 years ago
5

An investment advisory firm does its own research, using a group of dedicated employees and has a separate staff of investment a

dviser representatives (IARs) who solicit new accounts. In an effort to maintain confidentiality between the research staff and sales staff, the investment adviser MUST:
Business
1 answer:
katen-ka-za [31]3 years ago
4 0

OPTIONS:

A. establish a Chinese Wall between the research personnel and the sales personnel

B. register both the research personnel and the sales personnel in each State where the IA's services are offered

C. cross-train the research personnel and the sales personnel in each other's functions so that in the event of a confidentiality breach, one can take over the functions of the other

D. establish two separate IA firms registered with the State with one only having research personnel and the other only having sales personnel

Answer: A. establish a Chinese Wall between the research personnel and the sales personnel

Explanation: In a bid to maintain confidentiality and avoid leakage of vital information, there must be a barrier between the research personnels who makes findings on investment opportunities and packages for client needs and the sales personnels. This is because, research and investment informations are treated as classified and leakage could lead to bias, whereby some consumers will get the information and make moves before other consumers are informed via official release by the firm.

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cupoosta [38]

Through employment and engaging communities thru comprehensive business models, the private sector can play a significant role in poverty alleviation.

 

As it brings community members into the value chain thus making it a more sustainable relationship, this approach is makes it different from just social corporate responsibility.

4 0
3 years ago
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Fuente, Inc., has identified an investment project with the following cash flows. Year Cash Flow 1 $ 1,075 2 1,210 3 1,340 4 1,4
umka21 [38]

Answer:

the future value of the cash flow in year 4 is $5,632.73

Explanation:

The computation of the future value of the cash flow in year 4 is as follows:

= $1,075 × (1.08^3) + $1,210 × (1.08^2) + $1,340 × (1.08^1) + $1,420 ×(1.08^0)

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= $5,632.73

Hence, the future value of the cash flow in year 4 is $5,632.73

The same is to be considered and relevant  

6 0
3 years ago
Which of the following are miscellaneous taxes?
777dan777 [17]

Answer:

A) Hunting license fees

B) License plate fees

D) Marriage license fees

Explanation:

A miscellaneous tax is any tax levied other than incomes taxes or transfer taxes (e.g. excise taxes including sales and gasoline taxes, real estate transfer taxes, estate taxes, gift taxes). Transfer taxes are paid when the ownership of a property (including goods and services) is transferred from one person to another.

Sales taxes and gasoline taxes are both excise taxes, therefore they fall under the category of transfer taxes.

Inheritance taxes are called estate taxes, which also fall under the category of transfer taxes.

6 0
3 years ago
A) provide funding flexibility to the purchaser.
uranmaximum [27]

Answer:

None

Explanation:

Dear friend,

Kindly input the complete question not just the options.

Thanks

6 0
3 years ago
A document commonly used in real estate transactions, detailing the fees, commissions, insurance, etc. that must be transacted f
Ksivusya [100]

Answer:

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Explanation:

A document commonly used in real estate transactions, detailing the fees, commissions, insurance, etc. that must be transacted for a successful transfer of ownership to take place is known as a closing statement. The closing statement is a spreadsheet document that comprises of the statement of actual settlement costs and it is usually provided by a real estate agent to a home seller while the bank gives it to the home buyer.

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