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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
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
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
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