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.
Answer:
If I recall it may be called Revenue.
Explanation:
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Answer: Endowments
Explanation:
The institutional investors that most likely must spend a target percentage of the portfolio annually is the endowments.
Endowment fund refers to the long term fund that is used for perpetual operations and usually set up by colleges or in hospitals
The fund then covers the expenses relating to provision of services for the students. A portion of the endowment is allowed to be use for every fiscal year.
Planning is often called the primary management function because,
a. it establishes the basis for all the other things managers do
-Mabel <3
