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Questions and Answers
What is the purpose of Smartprofit Finder Ltd's conflicts of interest policy?
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?
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?
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?
What is the requirement for employees regarding acting in the best interests of clients?
What does the company maintain a register of?
What does the company maintain a register of?
What is the requirement for outside business activities that may pose a conflict?
What is the requirement for outside business activities that may pose a conflict?
What is the requirement for compensation from third parties?
What is the requirement for compensation from third parties?
What happens to conflicts of interest that are reported to the compliance department?
What happens to conflicts of interest that are reported to the compliance department?
What is the role of the compliance department in relation to the conflicts of interest policy?
What is the role of the compliance department in relation to the conflicts of interest policy?
How are potential conflicts of interest disclosed to clients?
How are potential conflicts of interest disclosed to clients?
What must employees disclose to clients regarding potential conflicts of interest?
What must employees disclose to clients regarding potential conflicts of interest?
What is considered inadmissible behavior according to the policy?
What is considered inadmissible behavior according to the policy?
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