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whew1110

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tT
发表于 2013-4-10 23:00 | 只看该作者

Ethics Personal Investments

assigned, policy
WHat’s the policy on trading arround securities analyst is assigned to?

 

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Roflnadal

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发表于 2013-4-10 23:01 | 只看该作者
Allowed as long as the analyst position is the same as his rating and that he doesn’t trade prior to issuing a report.

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bchadwick

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发表于 2013-4-10 23:02 | 只看该作者
CFAI’s ethics book. Page 172. ROS 7, Personal Investments & Trading

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