Ethics question about research author's names mentioned


If an analyst was working on a research and they were team of two and + supervisor. For example, if one of the members doesnt agree with final decision of supervisor to recommend “buy” transaction for a target company, can he/she request to remove his/her name from research? or it is a must?

I suppose he can request his name to be removed, but if he doesn’t, it wouldn’t be a violation per se. Reference the SMC Case Scenario - Q2 in the ‘sample level 2 item sets’ provided by the CFA Institute. They have a similar situation and the correct answer is - the analyst can leave their name on the report, but document the difference of opinion.

Not sure if the link works, nevertheless, you’ll find it on the site

You do not need to disassociate from a recommendation (of which you do not agree) made in a group if the recommendation has a reasonable basis but you should document your disagreement.


I know you might be referring to the Schweser set, I got that wrong too.