1.

 Junjun Conrado is the lead quantitative analyst at City Center Hedge Fund. Conrado is
responsible for the development, maintenance, and enhancement of the proprietary models the
fund uses to manage its investors’ assets. Conrado reads several high-level mathematical
publications and blogs to stay informed on current developments. One blog, run by Expert
CFA, presents some intriguing research that may benefit one of City Center’s current models.
Conrado is under pressure from firm executives to improve the model’s predictive abilities,
and he incorporates the factors discussed in the online research. The updated output
recommends several new investments to the fund’s portfolio managers.

Mr Cannon violated Standard V(A) because mr Cannon actions do not demonstrate a

sufficient level of diligence in his recommendations made. Watching blogs is not diligently
research and he needs to research what his recommendations will affect on the firm
because not every firm is the same it can be in the blog he what the recommendations has a
good affect to the firm but not in his firm.

2. Zoe Mattieu makes it clear to all clients that she pays a flat fee of P500 for referrals to her
firm.  She prefers to make this information known to clients and prospective clients via verbal
announcement during their first face-to-face meeting. Beyond this, there is no other
communication regarding a referral policy made by Mattieu. Her firm has not seen fit to
change this policy, as it receives a high number of referrals each year

Zoe Mattieu violated Standard VI(C) because according to standard V(C) Referral Fees
information related to referral fees is required to be written, and signed by both parties she
only tell his information to er client via verbal announcement during their first face-to-
face meeting

3. Mckenzie Johnson runs an asset management company with downtown offices. To reduce
rent costs, the she ships the previous year's research records to a nearby warehouse each year.
The reports are digitized and saved in both electronic and hard-copy formats there. After eight
years, all paper copies are lost, leaving only electronic copies.

Mckenzie Johnson violated Standard IV(C) because according Standard IV( C ) is states
that Members and Candidates must make reasonable efforts to detect and prevent
violations of applicable laws, rules, regulations and the Code and Standards by anyone
subject to their supervision or authority. Mckenzie Johnson clearly violated the said
standard because to reduce rent costs, she ships the previous year's research records to a
nearby warehouse each year which is wrong according to the law.
4. Rachel Priyanka, a research assistant at Palmer Research Services (PRS), issues a report
with a buy recommendation on Smart Homes, a real estate firm, after weeks of intensive
research. Later, the CEO of Smart Homes invites Priyanka on a tour of the company's
headquarters, where they will explore the real estate industry in depth. Smart Homes' investor
relations office dispatches a private yacht to transport Priyanka from her coastal town to the
company's headquarters. Priyanka accepts the meeting but refuses the offered travel
arrangements after speaking with the Smart Homes compliance officer. Upon her return to
Palmer, Priyanka provides a comprehensive overview of the meeting and luncheon she
attended.

No Rachel Priyanka didn’t violate any. Priyanka didn’t accept the private yacht ride and
disclosed the whole overview of the meeting and luncheon she attended.