Q: 18
Catarina is a Dealing Representative for Ethical Financial which represents 20 different mutual fund
families. Darlene is a fund manager from one of those mutual fund families and wants to send a gift
card to Catarina as a symbol of appreciation. Ethical Financial's policies and procedures manual
(PPM) require that Catarina decline the gift.
What method of addressing conflict of interest is being used by Ethical Financial?
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