05397nam 2200709 a 450 991102020020332120200520144314.0978047082696604708269679781119199458111919945X97804708269590470826959(CKB)2670000000059769(EBL)699426(OCoLC)699487879(SSID)ssj0000474594(PQKBManifestationID)12185357(PQKBTitleCode)TC0000474594(PQKBWorkID)10463488(PQKB)11790343(MiAaPQ)EBC699426(Perlego)1014070(EXLCZ)99267000000005976920110420d2010 uy 0engur|n|---|||||txtccrWriting securities research a best practice guide /Jeremy Bolland2nd ed.Singapore ;Hoboken, N.J. Wileyc20101 online resource (350 p.)Previous ed.: 2007.9780470826027 0470826029 Includes bibliographical references and index.WRITING SECURITIES RESEARCH; Contents; Foreword; Preface; Summary points and recommendations; Background; Background to the second edition; Background to the first edition; The changing regulatory environment; Introduction; More education rather than more regulation; The need to identify investment risk; Target readership; Commercial benefits to compliance; Local differences and specific circumstances; Summary; Case studies and examples; Themes; Research coverage; Sourcing information; Reasonable basis for recommendations and risk assessment; Conflicts of interest; Writing in generalAcknowledgmentsAbbreviations Used in This Book; Chapter 1: Principles of Research; Key points; Definition and supervision of research; Supervision and control of research; Marketing research to the U.S. by foreign broker-dealers; Stock-picking tips; Continuing education; Cheating in tests; The realm of research; Ambit of securities regulations (bonds); Ambit of securities research regulations (equity and credit research analysts); Ambit of securities regulations (swaps and other derivatives); Ambit of securities research regulations (marketers of research, including hedge fund research)Ambit of securities research regulations (analysts as experts on sales desks)Ambit of securities research regulations (stock-tipping bloggers); Ambit of securities research regulations (media commentators); Minimizing approval and publishing risks; Honesty and fair treatment of clients; Honesty and fair treatment of clients; Common securities-related violations cited by the SEC and FINRA of the U.S.; Regulations tightening up around the world (Hong Kong); Regulations tightening up around the world (China); Regulations tightening up around the world (Japan)Front-running and selective distribution of researchFront-running and selective distribution of research (huddles); Front-running of research; Selective distribution of research; Selective distribution of research (fact-checking); Selective distribution of research (greater conviction of view); Insider dealing and selective disclosure; Use/dissemination of price-sensitive information (general); Use/dissemination of price-sensitive information (U.S.); Use/dissemination of price-sensitive information (U.K.); Use/dissemination of price-sensitive information (Hong Kong)Use/dissemination of price-sensitive information (serial insider trading)Use/dissemination of price-sensitive information (pillow talk); Use/dissemination of price-sensitive information (economists); Specific requests and proprietary information; Definition of publishing; Unfair portrayal of past recommendations; Performance of past recommendations; Conflicts of interest and disclosure of interests; Catering to investors with specific investment criteria; Shari'ah law implications for securities research analysts (stocks); Shari'ah law implications for securities research analysts (bonds)The virtues of a vice portfolioThe book highlights the major risks that securities analysts (and other securities professionals) face. The various laws, rules and regulations that securities analysts are subject to are broadly split into three categories: research-specific rules and regulations; market-wide laws; and society-wide laws and customs. The risks that arise out of these various levels of rules and regulations, insofar as research analysts and other securities professionals are concerned, include conflicts of interest, fair distribution/front-running of research, insider trading, spreading of rumours, not highlighSecuritiesResearchInvestment analysisReport writingConflict of interestsSecuritiesResearch.Investment analysis.Report writing.Conflict of interests.332.632Bolland Jeremy F1840804MiAaPQMiAaPQMiAaPQBOOK9911020200203321Writing securities research4420368UNINA