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Questions and Answers

What is the purpose of Smartprofit Finder Ltd's conflicts of interest policy?

To promote unethical behavior among employees

To prevent and manage conflicts of interest (correct)

To increase profits for the company

To provide a framework for illegal activities

Who does the conflicts of interest policy apply to?

Only the compliance department

Only the Board of Directors

Only senior employees

All employees of the company (correct)

What is the purpose of information barriers in the policy?

To encourage conflicting interests among clients

To avoid conflicting interests among clients (correct)

To increase transparency among employees

To promote insider trading

What is the requirement for employees regarding acting in the best interests of clients?

They are required to act honestly and fairly in the best interests of clients Signup and view all the answers

What does the company maintain a register of?

Conflicts of interest and mitigation measures Signup and view all the answers

What is the requirement for outside business activities that may pose a conflict?

Prior approval is required for outside business activities that may pose a conflict Signup and view all the answers

What is the requirement for compensation from third parties?

It is only accepted with client consent Signup and view all the answers

What happens to conflicts of interest that are reported to the compliance department?

They are escalated if material Signup and view all the answers

What is the role of the compliance department in relation to the conflicts of interest policy?

They monitor and review the implementation of the policy Signup and view all the answers

How are potential conflicts of interest disclosed to clients?

They are disclosed in a general manner Signup and view all the answers

What must employees disclose to clients regarding potential conflicts of interest?

A description of the conflict, the circumstances behind it, the risks for the client, and precautions taken by the company Signup and view all the answers

What is considered inadmissible behavior according to the policy?

Restructuring client custody accounts without economic justification Signup and view all the answers

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