Ethical Branding And Marketing 1st Edition Hagai Gringarten ,Raul Fernandez-Calienes - Solutions

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Does Telline violate any CFA Institute Standards when he places the buy order for shares in the technology company for Caper’s account?A. No.B. Yes, relating to fair dealing.C. Yes, relating to diligence and reasonable basis.
The Standard least likely to provide guidance for Telline when working with the clients’ investment policy statements would be the Standard relating to:A. suitability.B. fair dealing.C. loyalty, prudence, and care.
When deciding how to vote the ESOP shares, does Brown violate any CFA Institute Standards?A. No.B. Yes, relating to loyalty, prudence, and care.C. Yes, relating to diligence and reasonable basis.
When discussing the Leighton Family Trust, does Telline violate any CFA Institute Standards of Professional Conduct?A. No.B. Yes, relating to duties to clients.C. Yes, relating to misrepresentation.
When distributing the material at the industry conference, does Zardt violate any CFA Standards?A. No.B. Yes, because Zardt does not verify the accuracy of the information.C. Yes, because analysts cannot claim performance or promote the accuracy of their recommendations.
When listing their names on the research report, do Brecksen and Grohl violate any CFA Standards?A. No.B. Yes, because Brecksen misrepresents his authorship.C. Yes, because Grohl should dissociate from the report.
When removing the multi-factor analysis from his research report, does Grohl violate any CFA Standards?A. No.B. Yes, because he no longer has a reasonable basis for his recommendation.C. Yes, because he is required to make full and fair disclosure of all relevant information.
When instructing Grohl to eliminate the multi-factor analysis from the research report, does Brecksen violate any CFA Standards?A. No.B. Yes, relating to record retention.C. Yes, relating to diligence and reasonable basis.
When preparing the initial draft for Brecksen’s review, does Grohl violate any CFA Standards?A. No.B. Yes, because he used Brecksen’s research reports without permission.C. Yes, because he did not use reasonable judgment in identifying which factors were important to the analysis.
When searching blogs, does Acertado violate any CFA Institute Standards?A. No.B. Yes, because he misuses company resources.C. Yes, because he seeks inside information on the blogs.
When analyzing the probability of an LBO of Country Industries, does Boswin violate any CFA Institute Standards?A. No.B. Yes, relating to independence and objectivity.C. Yes, relating to diligence and reasonable basis.
In his phone conversation with Boswin, Acertado least likely violates the CFA Institute Standard relating to:A. suitability.B. integrity of capital markets.C. preservation of confidentiality.
When making the recommendation regarding Country Industries, does Acertado violate any CFA Institute Standards?A. No.B. Yes, relating to diligence and reasonable basis.C. Yes, relating to material nonpublic information.
When using the model at Smith & Garner, Acertado is least likely to violate the Standard relating to:A. misrepresentation.B. loyalty to employer.C. material nonpublic information.
When downloading the model from Greenfield Financial Corporation, does Acertado violate any CFA Institute Standards of Practice and Professional Conduct?A. No.B. Yes, because he does not have written permission from Boswin.C. Yes, because he does not have permission from Greenfield Financial
Townsend was recently appointed to the board of directors of a youth golf program that is the local chapter of a national not-for-profit organization. The program is beginning a new fund-raising campaign to expand the number of annual scholarships it provides. Townsend believes many of her clients
Paper was recently terminated as one of a team of five managers of an equity fund. The fund had two value-focused managers and terminated one of them to reduce costs. In a letter sent to prospective employers, Paper presents, with written permission of the firm, the performance history of the fund
Park is very frustrated after taking her Level II exam. While she was studying for the exam, to supplement the curriculum provided, she ordered and used study material from a third-party provider. Park believes the additional material focused her attention on specific topic areas that were not
During a round of golf, Rodriguez, chief financial officer of Mega Retail, mentions to Hart, a local investment adviser and long-time personal friend, that Mega is having an exceptional sales quarter.Rodriguez expects the results to be almost 10% above the current estimates. The next day, Hart
Quinn sat for the Level III CFA exam this past weekend. He updates his resume with the following statement: “In finishing the CFA Program, I improved my skills related to researching investments and managing portfolios. I will be eligible for the CFA charter upon completion of the required work
Cannan has been working from home on weekends and occasionally saves correspondence with clients and completed work on her home computer. Because of worsening market conditions, Cannan is one of several employees released by her firm. While Cannan is looking for a new job, she uses the files she
ABC Investment Management acquires a new, very large account with two concentrated positions. The firm’s current policy is to add new accounts for the purpose of performance calculation after the first full month of management. Cupp is responsible for calculating the firm’s performance returns.
Pietro, president of Local Bank, has hired the bank’s market maker, Vogt, to seek a merger partner. Local is currently not listed on a stock exchange and has not reported that it is seeking strategic alternatives.Vogt has discussed the possibility of a merger with several firms, but they have all
Andrews, a private wealth manager, is conducting interviews for a new research analyst for his firm. One of the candidates is Wright, an analyst with a local investment bank. During the interview, while Wright is describing his analytical skills, he mentions a current merger in which his firm is
Long has been asked to be the keynote speaker at an upcoming investment conference. The event is being hosted by one of the thirdparty investment managers currently used by his pension fund. The manager offers to cover all conference and travel costs for Long and make the conference registrations
Stafford is a portfolio manager for a specialized real estate mutual fund. Her firm clearly describes in the fund’s prospectus its soft dollar policies. Stafford decides that entering the CFA Program will enhance her investment decision-making skill and decides to use the fund’s soft dollar
Rule has worked as a portfolio manager for a large investment management firm for the past 10 years. Rule earned his CFA charter last year and has decided to open his own investment management firm. After leaving his current employer, Rule creates some marketing material for his new firm. He states
Carter works for Invest Today, a local asset management firm. A broker that provides Carter with proprietary research through client brokerage arrangements is offering a new trading service. The broker is offering low-fee, execution-only trades to complement its traditional full-service,
A former hedge fund manager, Jackman, has decided to launch a new private wealth management firm. From his prior experiences, he believes the new firm needs to achieve US$1 million in assets under management in the first year. Jackman offers a $10,000 incentive to any adviser who joins his firm
Rose, a portfolio manager for a local investment advisory firm, is planning to sell a portion of his personal investment portfolio to cover the costs of his child’s academic tuition. Rose wants to sell a portion of his holdings in Household Products, but his firm recently upgraded the stock to
Which of the following statements is a stated purpose of disclosure in Standard VI(C)–Referral Fees?A. Disclosure will allow the client to request discounted service fees.B. Disclosure will help the client evaluate any possible partiality shown in the recommendation of services.C. Disclosure
Stewart has been hired by Goodner Industries, Inc., to manage its pension fund. Stewart’s duty of loyalty, prudence, and care is owed to:A. The management of Goodner.B. The participants and beneficiaries of Goodner’s pension plan.C. The shareholders of Goodner.
An investment banking department of a brokerage firm often receives material nonpublic information that could have considerable value if used in advising the firm’s brokerage clients. In order to conform to the Code and Standards, which one of the following is the best policy for the brokerage
Michelieu tells a prospective client, “I may not have a long-term track record yet, but I’m sure that you’ll be very pleased with my recommendations and service. In the three years that I’ve been in the business, my equity-oriented clients have averaged a total return of more than 26% a
Smith is a financial analyst with XYZ Brokerage Firm. She is preparing a purchase recommendation on JNI Corporation. Which of the following situations is most likely to represent a conflict of interest for Smith that would have to be disclosed?A. Smith frequently purchases items produced by JNI.B.
Which of the following statements is correct under the Code and Standards?A. CFA Institute members and candidates are prohibited from undertaking independent practice in competition with their employer.B. Written consent from the employer is necessary to permit independent practice that could
Ward is scheduled to visit the corporate headquarters of Evans Industries. Ward expects to use the information he obtains there to complete his research report on Evans stock. Ward learns that Evans plans to pay all of Ward’s expenses for the trip, including costs of meals, hotel room, and air
Which of the following is a correct statement of a member’s or candidate’s duty under the Code and Standards?A. In the absence of specific applicable law or other regulatory requirements, the Code and Standards govern the member’s or candidate’s actions.B. A member or candidate is required
Anderb, a portfolio manager for XYZ Investment Management Company—a registered investment organization that advises investment firms and private accounts—was promoted to that position three years ago. Bates, her supervisor, is responsible for reviewing Anderb’s portfolio account transactions
Grey recommends the purchase of a mutual fund that invests solely in long-term US Treasury bonds. He makes the following statements to his clients:I. “The payment of the bonds is guaranteed by the US government;therefore, the default risk of the bonds is virtually zero.”II. “If you invest in
Brown works for an investment counseling firm. Green, a new client of the firm, is meeting with Brown for the first time. Green used another counseling firm for financial advice for years, but she has switched her account to Brown’s firm. After spending a few minutes getting acquainted, Brown
One of the discretionary accounts managed by Farnsworth is the Jones Corporation employee profit-sharing plan. Jones, the company president, recently asked Farnsworth to vote the shares in the profitsharing plan in favor of the slate of directors nominated by Jones Corporation and against the
Jurgen is a portfolio manager. One of her firm’s clients has told Jurgen that he will compensate her beyond the compensation provided by her firm on the basis of the capital appreciation of his portfolio each year.Jurgen should:A. Turn down the additional compensation because it will result in
The mosaic theory holds that an analyst:A. Violates the Code and Standards if the analyst fails to have knowledge of and comply with applicable laws.B. Can use material public information and nonmaterial nonpublic information in the analyst’s analysis.C. Should use all available and relevant
Which one of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?A. Informing all people in the firm in advance that a recommendation is to be disseminated.B. Distributing recommendations to institutional clients prior
Scott works for a regional brokerage firm. He estimates that Walkton Industries will increase its dividend by US$1.50 a share during the next year. He realizes that this increase is contingent on pending legislation that would, if enacted, give Walkton a substantial tax break.The US representative
Albert and Tye, who recently started their own investment advisory business, have registered to take the Level III CFA examination.Albert’s business card reads, “Judy Albert, CFA Level II.” Tye has not put anything about the CFA designation on his business card, but promotional material that
An investment management firm has been hired by ETV Corporation to work on an additional public offering for the company. The firm’s brokerage unit now has a “sell” recommendation on ETV, but the head of the investment banking department has asked the head of the brokerage unit to change the
Willier is the research analyst responsible for following Company X.All the information he has accumulated and documented suggests that the outlook for the company’s new products is poor, so the stock should be rated a weak “hold.” During lunch, however, Willier overhears a financial analyst
Bronson provides investment advice to the board of trustees of a private university endowment fund. The trustees have provided Bronson with the fund’s financial information, including planned expenditures. Bronson receives a phone call on Friday afternoon from Murdock, a prominent alumnus,
Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook?A. Firms should disclose to clients the personal investing policies and procedures established for their employees.B. Prior approval must
Jamison is a junior research analyst with Howard & Howard, a brokerage and investment banking firm. Howard & Howard’s mergers and acquisitions department has represented the Britland Company in all of its acquisitions for the past 20 years. Two of Howard &Howard’s senior officers are directors
Which statement about a manager’s use of client brokerage commissions violates the Code and Standards?A. A client may direct a manager to use that client’s brokerage commissions to purchase goods and services for that client.B. Client brokerage commissions should be used to benefit the client
Smith, a research analyst with a brokerage firm, decides to change his recommendation for the common stock of Green Company, Inc., from a “buy” to a “sell.” He mails this change in investment advice to all the firm’s clients on Wednesday. The day after the mailing, a client calls with a
6 In the race to achieve higher sales, how should brands set the boundary of what is ethical advertising?
5 What should be the repercussions of a product failure on the celebrity endorser?
4 How should the celebrities decide which brand to endorse?
3 Who should be more responsible toward consumers, the celebrities or the brands?
2 Discuss the effectiveness of rules and regulations in governing advertising scenarios around the world.
1 Do you think celebrities involved in advertising have some responsibilities toward consumers? If so, what are they? If not, why not?
What ethical issues do war and colonization raise?
4 To what extent have companies always managed and manipulated their public image?
3 What is the relationship between businesses, academics, and consumers?
2 What is the role of company history in a brand?
1 To what extent can companies distinguish between their modern business operations and their historical activities?
4 How can consumers’ power work to engage MNEs in making a real, substantial contribution to the global effort to abolish modern slavery, servitude and other forms of laborers’ exploitation?
3 How can consumers’ power work to make MNEs respect this balance of interests globally?
2 What checks and balances may ensure that this balance of interests is respected globally?
1 What might be the due balance of these interests?
4 Is it appropriate for marketers to associate happiness with unhealthy or harmful products?
3 Should free toy premiums be allowable for promoting unhealthy food offerings?
2 Marketers often use emotional appeals relating to happiness, pleasure, and fun targeting children and youth. Is this ethical?
1 Bo Derek, a US model and actress, has said, “Whoever said money can’t buy happiness simply didn’t know where to go shopping.” To what extent do you agree or disagree with this statement? Provide reasons why you are taking this position.
What else can companies do to promote ethical branding?
Discuss the common elements in light of the Fabindia case study.
3 How does ethical branding correlate with building social business?
2 A social business attempts to maximize social profits. In what ways does Fabindia maximize both financial and social profits?
1 Ethical branding is more about building an image – it means building an ethical approach in a brand’s DNA. Discuss this statement in light of the Fabindia approach.
Describe three instances of unethical branding. How do your examples fit within the definition provided in the chapter?
4 Describe three instances of ethical branding. How do your examples fit within the definition provided in the chapter?
3 Do you believe Mrs. Nahrstedt should have been permitted to keep her cats? Do you believe the governing board had a justifiable argument for enforcing its pet restriction? Do HOAs exercise too much power over the lives of individuals? Explain your reasoning.
2 Do you believe presently-in-use judicial standards of review sufficiently protect individual private rights? If so, defend your position.If not, what alternative solution would you offer? Explain your reason.
1 Do you believe HOAs practice ethical branding when enforcing rules to promote the collective good to the detriment of individual private rights? Explain your reasoning using an example from the chapter.
4 Is it inevitable that students will increasingly view their interactions in the classroom as just another customer experience?
3 Unlike many professions, tenured professors in most cases are guaranteed lifetime employment, given the financial difficulties that many universities face should educational institutions discontinue tenure?
2 Are university traditions handed down from the Medieval Period worth preserving?
1 In an effort to enhance their image, should a university brand individual professors?
5 What do you think of the tagline “In Cipro we trust” and the impact it had? Please explain and support your opinion.
4 Develop talking points for CEO to address media during the crisis.
3 Produce a detailed recommended action plan to deal with Bayer Corporation and Bayer AG’s marketing environment. Address differences and similarities between two entities.
2 Assume you are the vice President of Marketing at Bayer AG. Produce a memorandum for top management outlining critical issues facing Bayer AG and Bayer Corporation’s marketing environment.
1 Imagine you work for US government during the anthrax crisis.Develop for your boss, both talking points for why and why not to override the Cipro patent.
4 What are the possible remedies when for-profit education firms commit a breach of duty?
3 Which fiduciary duties should for-profit education providers perform?
2 How do conflicts of interest in the financial services industry compare to the for-profit education industry?
What practices in for-profit education create ethical risks?
5 Reflect on the importance of ethical branding in franchising
4 Discuss the interactions between brand equity and ethics.
3 Analyze brand citizenship behaviors in connection with ethical issues.
2 Discuss the components of brand relationship quality in relation to ethical principles.

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Ethical Branding And Marketing 1st Edition Hagai Gringarten ,Raul Fernandez-Calienes - Solutions

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