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NMIMS Global Access

School for Continuing Education (NGA-SCE) 

Course: Ethical and Professional Standards

Internal Assignment Applicable for June 2020 Examination

Assignment Marks: 30 Instructions:

Instructions :-

•  All Questions carry equal marks.
• All Questions are compulsory
• All answers to be explained in not more than 1000 words for question 1 and 2 and for question 3 in not more than 500 words for each subsection. Use relevant examples, illustrations as far as possible.
•  All answers to be written individually. Discussion and group work is not advisable.
• Students are free to refer to any books/reference material/website/internet for attempting their assignments, but are not allowed to copy the matter as it is from the source of reference.
• Students should write the assignment in their own words. Copying of assignments from other students is not allowed
• Students should follow the following parameter for answering the assignment questions

1. Not having clearly laid down process to screen inter-departmental communication in a diversified investment firm having investment and research departments can result in violation of Standards of Professional Conduct. Explain this statement with an example, citing applicable Standard. (10 Marks)
    
2. Investment professionals must have thorough understanding of the concept of Conflict of Interest. Elaborate this statement with examples with reference to the relevant standard. (10 Marks)
    
3. .a. Rajat Gupta, Director on the Board of Goldman Sachs, learned on Sept 21, 2008, during the height of the Global Financial Crisis, that Warren Buffet was going to invest $5 billion in to Goldman within a week. He passed on this information to his friend before this information was made public, to his friend Raja Rajaratnam of Galleon Hedge Fund who made profit of over $14 million by buying shares of Goldman. Comment on this case with reference to the applicable Standard assuming that Goldman and Gupta are bound by the CFAI Standards . (5 Marks)
   
   b) . Vijay Raj, a Fund Manager, managing Small and Mid-Cap portfolios of a Mutual Fund, is asked by his reporting Manager to buy shares of a closely held listed company in small lots every day at incremental prices until the share price reaches Rs.1500 per share from the existing price of Rs.300 per share. Comment on this case, assuming that Vijay Raj is a member of CFAI and list out options available to him. (5 Marks)