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brain_wash_your

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tT
发表于 2013-4-4 06:35 | 只看该作者

Ethics - Soon to be published report

published, somebody, because, company
What if you are going to publish a report that downgrades company ABC - the report is under review with your supervisor and you will issue it in two days. Meanwhile your client calls you and asks you to buy stock in company ABC because somebody told them it is a good buy for his or her portfolio. How to deal with this siutation?
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Viceroy

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发表于 2013-4-4 06:39 | 只看该作者
Put them on hold and don’t call them back until 2 days later.
Seriously, I don’t know. That’s a tough call. From what I’ve read, if the review process takes a while, the analyst will usually issue a flash report in order to disseminate the ratings change.

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Houjichasan

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3#
发表于 2013-4-4 06:43 | 只看该作者
that makes sense bpdulog
confidentiality to me takes precedence over client interests at this time. i’m sure i’d get sued by ABC and CFAI if i revealed material information like that before public dissemination.
that said, i would make the client aware of the risks involved in his trade.
quick q - in a client pushing though his/her trade over our recommendation, is verbal consent sufficient?

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bdavi77962

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发表于 2013-4-4 06:47 | 只看该作者
I believe you have to disclose the change in recommendation

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giants2010

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发表于 2013-4-4 06:51 | 只看该作者
Disclose to the client a report is being issued in two days. Make the decision after viewing the report.
I have no idea on what the real answer would be. Just thought this would be the right path to take.

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