By Jeremy Bolland
The ebook highlights the key hazards that securities analysts (and different securities pros) face. a few of the legislation, ideas and rules that securities analysts are topic to are largely break up into 3 different types: research-specific principles and laws; market-wide legislation; and society-wide legislation and customs. the dangers that come up out of those quite a few degrees of principles and laws, insofar as research analysts and different securities execs are involved, comprise conflicts of curiosity, reasonable distribution/front-running of analysis, insider buying and selling, spreading of rumours, no longer highligh. �Read more...
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Additional info for Writing securities research : a best practice guide
Commercial beneﬁts to compliance I trust readers will agree that my explanations and suggestions as to how to deal with best-practice issues do not come at the expense of commerci ality and competitiveness. Analysts who may think this book is all about learning how to obey the rules just to avoid ﬁnes from securities regulators (a laudable and commercial enough aim in itself) should appreciate that competitive advantage will inevitably accrue when, individually and collectively, analysts play the game properly.
Given the risks that securities ﬁrms and analysts face, instituting a robust approval process for their research product (includ ing any product that could be regarded by a regulator as research) seems pretty sensible in any jurisdiction, whether it’s mandated or not. S. S. regulations. S. S. S. S. entity. S. entity must take responsibility for the research, and the research must state this clearly as well as the fact that the foreign analyst is not registered or qualiﬁed under FINRA regulations.
Again, I reiterate that research analysts need to be mindful of their own local laws, regulations, customs and company policies, and will inevitably need independent legal advice for their speciﬁc circumstances. All source material for the case studies is publicly available and comprises either primary evidence provided by regulators or second ary evidence provided by reputable newspapers and newswires. S. K. (FSA); and the Securities and Futures Commission of Hong Kong (SFC). Secondary sources include: Financial Times (FT); Wall Street Journal (WSJ); South China Morning Post (SCMP); New York Times (NYT); Barron’s; Bloomberg; Thomson Reuters; and Dow Jones.