Ethics: 1,2,3 department, voluntary, research, interest, reports

ruchita

1. Is Soft Dollar compliance mandatory or voluntary?

2. Is Research Objectivity compliance mandatory or voluntary?

3. Can research analysts share the factual-only parts of research reports with I-bankers (if it goes through compliance department) to confirm facts/conflicts of interest?

mp3bu

1. v
2. v
3. yes, but they key is w/ the assistance/oversight of compliance