dvilayphet

thems Wrote:
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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.