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3 Cards in this Set
- Front
- Back
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Issuer Paid Research Compensation Best practices |
Negotiate only a flat fee for work that is not linked to conclusions or recommendations |
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Issuer Paid Research - Travel Funding |
Analysts should use commercial transportation at the expense of their firm rather than accept paid travel arrangements from an outside company. Should commercial transit be unavailable, it is acceptable to accept modest travel accomodations |
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Soft Commission Best Practices |
Client directed brokerage (brokerage assets of the client) is okay, as long as it benefits the client by getting best execution. If this is not the case, it must be disclosed to the client |
