标题: Chinese Wall Policies [Ethics] [打印本页] 作者: prashantsahni 时间: 2013-4-8 14:31 标题: Chinese Wall Policies [Ethics]
What is CFAI’s stance on the Chinese Wall (communication between Research and I-Banking)?
Schweser says that they are allowed to communicate as long as no company specific information is exchanged.作者: YAhmed 时间: 2013-4-8 14:32
The firewall is not absolute. CFAI states that material nonpublic information can be shared between the two on a need-to-know-basis in order to carry out their responsibilities.作者: NakedPuts00 时间: 2013-4-8 14:32
Forzajuve, is that true? Where did you find that? Cos my understanding is that material nonpublic info cannot be shared about a company – in fact, such companies are placed in the “restricted list” and blocked list of securities that the employees cannot comment on or invest in作者: spartan1 时间: 2013-4-8 14:33
absolutely not that would comprimise the wall……instead what must be done is the analyst must be carried over the wall ( with compliance notified) in order to take a look at the material non public info
