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旅人祈愿 · 2017年10月01日

disclosure of conflict VS loyalty

If A is proposing a research paper for ABC company. The IBD of A's firm is helping ABC with merging issue (just started). If A doesn't disclose this fact, he violate the disclosure of conflict and Independence and objectivity.  If he disclose this fact, he violate loyalty because the stock price of ABC may go down and this is supposed to be a non-public information at this period. So what should he do.

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maggie_品职助教 · 2017年10月14日

应该把该股票放入限制性清单。如果一定要发布对其的研究报告,只能发布事实陈述而非带有建议性的推荐。

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