could someone explain how it voilated the record retention policy?/ by maiaintaing there own personal notes or by sending reports to head of research only?
Share
Please briefly explain why you feel this question should be reported.
Please briefly explain why you feel this answer should be reported.
Please briefly explain why you feel this user should be reported.
Ochieng labelled himself as an independent third party research contractor ( think broker). A third party research provider is expected to simply provide the research report about a security along with their own recommendation. They do not share their own personal notes or research models. However, given that Ochieng provides research only to Jacadanda, he would not be considered a third party. Therefore, as all employees in the firm, he is also expected to provide his own personal notes and research models and not just the report to the firm.