道德相关问题

disclosure of conflicts

1、有关individual relationship，是什么类型的relationship需要disclose？

一个是要向雇主批露的：

1.Ownership of stocks analyzed or recommended, 2.participation on outside boards,3and financial or other pressures that could influence a decision

一个是要向客户批露的

1.relationships between an issuer and the member, the candidate, or his or her firm (such as a directorship or consultancy by a member;

2.investment banking, underwriting, and financial relationships; broker/dealer market-making activities;

3.material beneficial ownership of stock).

2、我印象中有一题是分析师的室友是被分析公司的管理层（或是持有股票）这种情况下分析师需要disclose吗？

同学你好，不需要；standards 只是要求要批露自己的持股情况。