Assignment help April 2022 NMIMS According to the procedur

For Nmims Assignment Solution Contact
[email protected]
+91 9422028822

Ethical and Professional Standards Applications

1. Alexa an employee of a registered investment company "International Asset LLP has decided to leave due to some personal and professional reasons. There are certain regulations and standards, which he is supposed to observe. Elaborate on those criteria and briefly list particular actions that are not considered prohibitive in light of Alexa's responsibility to his employer. (10 Marks)

2. According to the procedures of the Quantitative Analysis Model, Mark has been assigned the responsibility of developing a presentation for his prospective clients. In terms of the standard of plagiarism, list the Do' discussion/presentations. (10 Marks)

3. Paris Trading Corporation, a Registered Investment Advisory in Paris, has hired Dav, who manages a staff of ten analysts in an office that lacks appropriate staff and is working extra to complete the task. Raju, one of Dav's subordinates, is tasked with completing a study on the implications of the United States' cutting-edge drone technology. Assuming that the client's technology is unique and interesting, he provides details and concludes his advice as "Buy." Another colleague (staff under Dav) Alice was delegated to work on a report for a client named Paris Limited. and recommend buy or sell .

However, due to stress and a lack of time, Alice incorporates the report of an independent blogger and submits the report to Dav. Given the fact that it is late in the evening and considering Alice's previous exemplary work, Dav accepts the report and its recommendations and meets with portfolio managers to discuss it further for execution.

a. Explain the system of Supervision in respect of Supervisors, Considering Alice s
supervision by Dav. (5 Marks)
b. Is there any violation of any Standard according to you? If your answer is Yes what should a supervisor do in case of discovering a violation? If Answer Is No justify with a reason. (5 Marks)

For Nmims Assignment Solution Contact
[email protected]
+91 9422028822