Narsee Monjee Assignments April 2022 Exercise diligence i

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Ethical and Professional Standards

1. Only through the fair treatment of all parties can the investment management profession maintain the confidence of the investing public. Elaborate this statement with examples with reference to the relevant standard. (10 Marks)

2. Exercise diligence, independence and thoroughness in analyzing investments, making investment recommendations and taking investment actions. Elaborate this statement with examples with reference to the relevant standard. (10 Marks)

3. Nimisha Shah resigned from NextGeek Technologies as a market analyst who is also a candidate of CFA. She has accepted a position with a company abroad who operates in different industry not a direct competition to NextGeek. When packing up her office, she had collected all the things that belonged to her while doing that she found a copy of analytical sector report that she worked on during her tenure at NextGeek. Nimisha wanted to take the hardcopy of that report as it was her work and she had pride in it, she took it along with her while leaving.

a. Explain the relevant Standard in this situation. (5 Marks)

b. In the given situation, do you think was there any violation or non-violation of the standard? Justify (5 Marks)

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