Analyst Ethical Standards in Public Appearances

Easy Research Objectivity Standards Public Appearances

In the context of the CFA Institute's Research Objectivity Standards, consider the scenario where an analyst is invited to speak at an investment conference. During the event, the analyst presents their views on a particular stock. After the event, a journalist interviews the analyst and asks about their investment recommendations, including potential future actions in relation to that stock. Which of the following guidelines should the analyst follow to ensure compliance with ethical standards related to public appearances?

The analyst should provide candid opinions about the stock, even if they are not based on their firm's research.

The analyst should avoid discussing any stock recommendations that are not publicly available or supported by their firm's research.

The analyst may disclose personal opinions as long as they clarify that they are separate from their firm's recommendations.

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