LEADER 05397nam 2200709 a 450 001 9911020200203321 005 20200520144314.0 010 $a9780470826966 010 $a0470826967 010 $a9781119199458 010 $a111919945X 010 $a9780470826959 010 $a0470826959 035 $a(CKB)2670000000059769 035 $a(EBL)699426 035 $a(OCoLC)699487879 035 $a(SSID)ssj0000474594 035 $a(PQKBManifestationID)12185357 035 $a(PQKBTitleCode)TC0000474594 035 $a(PQKBWorkID)10463488 035 $a(PQKB)11790343 035 $a(MiAaPQ)EBC699426 035 $a(Perlego)1014070 035 $a(EXLCZ)992670000000059769 100 $a20110420d2010 uy 0 101 0 $aeng 135 $aur|n|---||||| 181 $ctxt 182 $cc 183 $acr 200 10$aWriting securities research $ea best practice guide /$fJeremy Bolland 205 $a2nd ed. 210 $aSingapore ;$aHoboken, N.J. $cWiley$dc2010 215 $a1 online resource (350 p.) 300 $aPrevious ed.: 2007. 311 08$a9780470826027 311 08$a0470826029 320 $aIncludes bibliographical references and index. 327 $aWRITING 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 general 327 $aAcknowledgmentsAbbreviations 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) 327 $aAmbit 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) 327 $aFront-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) 327 $aUse/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) 327 $aThe virtues of a vice portfolio 330 $aThe 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 highligh 606 $aSecurities$xResearch 606 $aInvestment analysis 606 $aReport writing 606 $aConflict of interests 615 0$aSecurities$xResearch. 615 0$aInvestment analysis. 615 0$aReport writing. 615 0$aConflict of interests. 676 $a332.632 700 $aBolland$b Jeremy F$01840804 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9911020200203321 996 $aWriting securities research$94420368 997 $aUNINA