Anna is a registered Investment Advisor with a large bank. She recently closed her home, however, she is short by $5,000 closing costs. Unable to secure extra cash, she approaches her uncle (who is a bank client and she manages his investments) and asked for the extra cash. She draws a contract to make it compliant and even gives a copy to her bank. Is she under a violation under her ethics of conduct?

Question 4 options:

Need to be decided by her compliance dept

Maybe - Grey Area

No

Yes