List all violations you can find out in this situation, pointing out to what Standard an action violates?

CFA Level II Ethics
#1

An extract from CFA curriculum

[removed by admin]

(Institute 128)

Institute, CFA. Level I 2012 Volume 1 Ethical and Professional Standards and Quantitative

#2

How 'bout you give us your list and we’ll critique it? You’ll learn a lot more doing it yourself than reading what anyone here has done.

#3

No violation - none of the characters are members/candidates (as given) and the firm is not claiming compliance with ROC.

#4

magician,

  1. I think there should be an interdepartmental separation between Corporate finance department and research department. In this case, Hunter, the head of CF department has contacted to an analyst in research department and Hunter’s action should constitute a violation to I.B Independence and Objectivity . Do you think so?

  2. Is that Hunter giving Fitz 30% of the options to entice him release a favourable research report on the company, and this fact should be disclosed as an additional compensation in the footnote of the research report?

However, Fitz didn’t, so he violated VI.A. Disclosure of conflict.

  1. Fitz violated I.B independence and objectivity and IV. B Additional compensation arrangement.