IB Analyst Angel Investing - Compliance Issue

Hey guys, recently started angel investing and want to see how it's usually received by BB compliance. Was told my investment requests may be denied because companies are in my sector coverage… what would happen if I just ignore and invest discreetly? How would the bank find out? What would be the consequence if they did find out after the fact? Thanks. 

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Comments (7)

  • Analyst 1 in IB-M&A
Jul 8, 2021 - 1:01pm

I assume this would be a FINRA issue if you got caught- pretty sure you could get statutory disqualification for not disclosing. 

My question is how could they possible find out, especially if you invested through an LLC? 

  • Analyst 1 in IB - Cov
Jul 8, 2021 - 1:04pm

Just curious what you are investing in/what capital with analyst comp? Are you just doing small checks from your salary or something like family money? How are you finding good investment opps? 

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  • Analyst 1 in IB - Cov
Jul 8, 2021 - 1:18pm

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