What are all the important time requirements/recommendations in ethics

  • 7 year record retention - required
  • publish (timely) reports - required
  • publish reports quarterly - recommended
  • trading restriction 30 days prior and 5 days after research report published - recommended

please add

All recommended:

  • Quiet period (analyst : no report, no public opinion, no roadshow) :

  • 30 days prior IPO

  • 10 days prior secondary offerings

  • List of personal investments provivide to compliance and updated at least annually.

  • No short term trading (holding period < 60 days)

  • Disclorue (within report and website) of fees paid by corporate client 12 months before the report and 3 months after.

  • Disclosure (within report) of gift received 12 months before the report.

  • Provide within the report price information regarding the subject company for a period of at least the 3 years before the report

Is 7 years record retention really required, or is it part of guidance and thus recommended?

If there is no other local law/regulation, CFAI requires min 7 years