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.
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.
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
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
发表于 2013-4-8 14:31
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