CIFC practice question 25 of 30
Catarina is a Dealing Representative for Ethical Financial which represents 20 different mutual fund families. Darlene is a fund manager from one of…
Choose your answer, then check it against the explanation.
Catarina is a Dealing Representative for Ethical Financial which represents 20 different mutual fund
families. Darlene is a fund manager from one of those mutual fund families and wants to send a gift
card to Catarina as a symbol of appreciation. Ethical Financial's policies and procedures manual
(PPM) require that Catarina decline the gift.
What method of addressing conflict of interest is being used by Ethical Financial?
Question 25 of 30
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