15. Ken Kawasaki, CFA shares a building with a number of other professionals who are also
involved in the investment management business. Kawasaki makes arrangements with
several of these professionals, including accountants and lawyers, to refer clients to each
other. There is an expectation that an informal score is kept so that the referrals will equal
out over time, so there are no cash payments. Kawasaki never mentions this arrangement
to clients or prospective clients. Does Kawasaki's agreement with the other building
occupants most likely violate any CFA Institute Standards of Professional Conduct?
A. No.
B. Yes, related to referral fees.
C. Yes, related to communication with clients.
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