1. Is Soft Dollar compliance mandatory or voluntary?
2. Is Research Objectivity compliance mandatory or voluntary?
3. Can research analysts share the factual-only parts of research reports with I-bankers (if it goes through compliance department) to confirm facts/conflicts of interest?作者: ashycal 时间: 2013-4-8 22:38
1. v
2. v
3. yes, but they key is w/ the assistance/oversight of compliance
