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Select one of the scenarios below and address the following: Describe how one of the below actions either violates or complies with CFA research standards. 1.Shannon Willington is an equity analyst at Chelsea Investments. Willington prepared a research report on Excalibur Enterprises, one of the firms corporate finance clients, and gave it a strong buy. She attended an investment seminar to pitch the company to a group of retail investors on her employers behalf. She did not mention that her compensation is linked to the success of a recent secondary issue by Excalibur. 2. Harrison Investments compliance department recently issued a policy requiring all equity analysts to report their personal stock holdings each quarter along with their weekly trades which must be approved in advance. A restricted period is also enforced for specified securities..

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Select one of the scenarios below and address the following: Describe how one of the below actions either violates or complies with CFA research standards. 1.Shannon Willington is an equity analyst at Chelsea Investments. Willington prepared a research report on Excalibur Enterprises, one of the firms corporate finance clients, and gave it a strong buy. She attended an investment seminar to pitch the company to a group of retail investors on her employers behalf. She did not mention that her compensation is linked to the success of a recent secondary issue by Excalibur. 2. Harrison Investments compliance department recently issued a policy requiring all equity analysts to report their personal stock holdings each quarter along with their weekly trades which must be approved in advance. A restricted period is also enforced for specified securities.

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