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1. Is a lawyer incidentally advising a client on the value of an investment product an investment adviser? Why? 2. Is the Trust Department of

1. Is a lawyer incidentally advising a client on the value of an investment product an investment adviser? Why?

2. Is the Trust Department of a bank embraced in the term "investment banker?" Explain.

3. What is the essence of the cooling-off period under R. A. No. 11765? Explain.

4. Can a financial regulator refrain from giving a cooling-off period? If it is withheld, will this amount to a grave abuse of discretion? Explain.

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