Investment Analysis - Records Compliance

Easy Cfa Institute Code And Standards Investment Analysis - Records

A financial analyst at a registered investment advisory firm is preparing to submit investment performance reports to clients. As part of the preparation, the analyst needs to ensure that all records related to investment performance and analysis are maintained accurately and comply with the CFA Institute Code of Ethics and Standards of Professional Conduct.

Which of the following statements most accurately reflects the requirements regarding investment analysis records?

The analyst must retain all records associated with the investment analysis process for a minimum of seven years.

The analyst is required to keep records of performance results only for accounts under management.

All records related to investment analysis and performance must be maintained in a manner that facilitates compliance with regulatory requirements.

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