Standard: Members
shall not copy or use, in substantially the same form as the original, material prepared by
another without acknowledging and identifying the name of the author, publisher, or source of
such material. Members may use, without acknowledgment, factual information published by
recognized financial and statistical reporting services or similar sources.
?
?
Compliance:
1.
Maintain copies of materials that were relied on in preparing the research report.
2.
Attribute quotations (and projections, tables, statistics, models, and methodologies)
used other than recognized financial and statistical reporting services.
3.
Attribute paraphrases and summaries of material prepared by others.
2-III.: Standards of Professional Conduct: III. Relationships and Responsibilities to the Employer
A.: Inform your Employer of the Code and Standards
III(A.1)
Members shall inform their employer in writing, through their direct
supervisor, that they are obligated to comply with the Code and Standards
and are subject to disciplinary sanctions for violations thereof.
III(A.2)
Members shall deliver a copy of the Code and Standards to their employer if
the employer does not have a copy.
Compliance: Members should notify their supervisor in writing of the Code and Standards
and the member’s responsibility to follow them. The member should also suggest that the
employers adopt the Code and Standards and disseminate it throughout the firm. If the
employer has publicly acknowledged, in writing, that they have adopted AIMR’s Code and
Standards as part of the firm’s policies then the member need not give the formal written
notification as required by III(A).
B.: Duty to Employer
Standard: Members shall not undertake any independent practice that could result in
compensation or other benefit in competition with their employer unless they obtain written
consent from both their employer and the persons or entities for whom they undertake
independent practice.
?
?
Compliance:
1.
Members who plan to engage in independent practice for compensation should
provide written statements to their employer describing the types of services they will
perform, the expected duration of the services, and the compensation they will
receive.
2.
Members should also disclose to their prospective clients the identity of their
employer, the fact that they are performing independently of the employer, and what
their employer would charge for similar services.
找金融资料，就到一览金融文库