Reading 4: CFA Institute Research Objectivity Standards - reports, required, approved, research, Investment

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Q1. At Brown Investment Analysis Inc., all analysts are required to submit a draft copy of all research reports before certain approved portions of the reports are shared or discussed with the company that is the subject of the report. Any changes that are made to research reports after the reports have been reviewed by subject companies must be approved by the compliance department after it receives a written statement from the responsible analyst justifying the changes. Brown also requires documentation of the process to take place at each step to ensure a review of any report would demonstrate clear justification for alterations in reports that have been partially disclosed to subject companies. Which of the following statements regarding the research policies at Brown Investment Analysis Inc. is CORRECT? The policies are:

A)   recommended by CFA Institute Standards of Professional Conduct.

B)   required by CFA Institute Research Objectivity Standards.

C)   recommended by CFA Institute Research Objectivity Standards.

Q2. All of the following procedures are recommended to comply with CFA Institute Research Objectivity Standards, EXCEPT:

A)   restrict employee trades 30 calendar days before and 5 calendar days after the release of a research report.

B)   update research recommendations annually.

C)   prohibit communication between the research employees and investment banking employees before the publication of a research report.

Q3. Greg Hibbert, CFA, is working with his firm’s compliance department to implement policies and procedures that comply with the requirements of the CFA Institute Research Objectivity Standards (ROS). Hibbert has informed the compliance officer that in order to meet the ROS requirements, the firm must require a written annual update of personal investments held by covered investment personnel or their families, and must provide a list of activities that violate the firm’s policies and the accompanying disciplinary actions to all of the firm’s clients and prospects. Are Hibbert’s statements regarding personal investments and the disclosure of violating activities CORRECT?

     Personal Investments      Violating Activities

 

A)          Yes                                        No

B)          Yes                                        Yes

C)          No                                         No

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