Analysts - Road shows

CFA Level II Ethics
#1

Reading 4. Research Objectivity Standards

  1. Investment Banking (Schwser page. 103)

Recommended Compliance Procedure

It’s recommended that analysts not be allowed to participate in marketing “Road shows”

Why?? I know in practical, analysts will join the road shows as wlll.

#2

The better question is, is your forum name a violation of the Standards?

#3

Good question mk17!

#4

I concur. Violation.

#5

I will have to dissociate myself from your question completely and will need to report this finding on my annual statement.