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Exam (elaborations)

CAIA Exam Sample

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2023/2024 Written for academic year
Institution CAIA
Course CAIA
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Samuel Tong, CAIA, has clients who await his recommendation of a particular stock that is about to release earnings. From his office he sends the single recommendation "Sell" to all his clients via a text message that includes the phrase "more info on web." Does this communication violate Standard V(B): Communication with Clients and Prospective Clients? - No A communication may be in capsule form but members should notify clients that additional information and analyses are available from the producer of the report

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