A Dealer Member wishes to reward a senior research analyst for their contribution to the firm's success during a year of record investment banking profits. Which of the following compensation structures is PERMITTED under CIRO Rule 3620?

Question

Accepted Answer

Analysts may be compensated from a general pool of revenues, including IB fees, provided that this fact is disclosed in the research report and the pay is not tied to a specific transaction.

A Dealer Member wishes to reward a senior research analyst for their contribution to the firm's success during a year of record investment banking profits. Which of the following compensation structures is PERMITTED under CIRO Rule 3620?

Discussion