Write a preliminary code of ethics for ACG to be presented
Alex C. Grovner, the principal of ACG, has been meaning to implement a corporate code of ethics for the company for many years but has not yet done so. Alex wants you to help him get started with this project by doing the following:
Use the Library, Internet, and other resources to research and develop a list of at least four (4) reasons why ACG could benefit from the implementation of a corporate code of ethics.
Review the Chartered Financial Analysts (CFA) code of ethics and explain why the principles of suitability, confidentiality, and diligence are so important in the investment advisory services sector.
Write a preliminary code of ethics for ACG to be presented and evaluated by the firm’s business steering committee.
DELIVERABLE LENGTH: 400-600 words
ABC Advisory Services LLC is a thriving, San Francisco–based professional investment management company catering to the investment needs of clients with high net worth. The company is a federally and state-registered investment advisor with the Securities and Exchange Commission (SEC). Its staff consists of 35 advisors, financial analysts, traders, portfolio managers, and a support staff managing $250 million for 120 individual and institutional clients. ABC’s minimum account size is $250,000. You have been hired as a financial analyst by ABC. Your main job function is to support the firm’s financial advisors with various client acquisitions, services, and retention efforts.
I am including this info in case you neede it.
Image preview for write a preliminary code of ethics for ACG to be presented
APA
631 words