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malbec

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发表于 2013-3-31 12:36 | 只看该作者
So, are we not supposed to assume they comply with Soft Dollar Standards if it is not mentioned?
Looks like my time should’ve been dedicated to learning esoteric formulas like Ibbotsen Chen.

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Zestt

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22#
发表于 2013-3-31 12:36 | 只看该作者
You are right. You’d be given in the vignette whether the manager in question claims compliance.
Remember, compliance with SD standards is optional for members or firms.

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noel

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23#
发表于 2013-3-31 12:36 | 只看该作者
CFASniper Wrote:
——————————————————-
You are right. You’d be given in the vignette
whether the manager in question claims
compliance.

Remember, compliance with SD standards is optional
for members or firms.
Thanks

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rohitdoshi

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24#
发表于 2013-3-31 12:36 | 只看该作者
I am a research at analyst at a big bank and my incentive comp is determined roughly based 60% on my research accuracy and 40% on the investment banking revenues the companies i cover generate for my firm. This compensation policy is disclosed by the firm and applied equally across all research analysts.
Is this is a violation of the ROS?

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dvilayphet

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25#
发表于 2013-3-31 12:36 | 只看该作者
thems Wrote:
——————————————————-
I am a research at analyst at a big bank and my
incentive comp is determined roughly based 60% on
my research accuracy and 40% on the investment
banking revenues the companies i cover generate
for my firm. This compensation policy is disclosed
by the firm and applied equally across all
research analysts.

Is this is a violation of the ROS?
Yes. It would be permissible if it was based on general firm revenue as long as it is disclosed as the extent on which the analyst’s compensation is dependent upon.

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pawn

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26#
发表于 2013-3-31 12:37 | 只看该作者
This applies for only a DIRECT link right? So analyst compensation is tied to accuracy and company profit. Most of a companies profit comes from IB. Still ok right?

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cv4cfa

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27#
发表于 2013-3-31 12:37 | 只看该作者
But i think the issue is that its linked to the profits of the IB revenues generated from the company the analyst covers, not the firm overall.

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cfa10yrplan

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28#
发表于 2013-3-31 12:37 | 只看该作者
yup, i think asif has nailed it.
kh.asif Wrote:
——————————————————-
Cannot be directly linked with investment banking
revenues. That looks like a violation to me.

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ASSet_MANagemen

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29#
发表于 2013-3-31 12:37 | 只看该作者
Thats not a direct link….

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