- 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
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