It will equip analysts with many useful tools to help them achieve success. Moreover, it is not just a technical and legal guide, but also a timely reminder of the principles of good writing.
This guide to doing it properly is an obvious selection for the bookshelf of anyone who aspires to offer investment advice and a fine reference for anyone who receives such advice. It is full of useful information. If all securities analysts followed the guidance that has been clearly laid out in this book by Jeremy Bolland, research enforcement regulators around the world would be out of a job. Anyone who is involved in writing and publishing research, or using research for investment decisions, from the novice to the expert, should read this book.
I highly recommend it. Nonresearch Emails Faxes.
Return to Book Page. The 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 rule The book highlights the major risks that securities analysts and other securities professionals face. We see that if an analyst puts a company in play, a regulator would instantly assume that the analyst is trading on inside information especially if the information turns out to be true or is spreading a rumour especially if it turns out to be false.
However, we also see that there is a third option - that the analyst might just have come to his or her conclusion through some good research based on verifiable facts and reasonable assumptions. Definitions of research from around the world are examined.
After all, research is generally defined by its content, not by the author's job description. As such, non-Research securities professionals such as brokers and marketers of research as well as investors, journalists and even bloggers and twitterers need to understand what constitutes "research" so that they don't fall into the regulators' purview.
Add to Watchlist Unwatch. Popular Courses. The amount of money needed to take a startup to profitability is usually well beyond the ability of founders and their friends and family to finance. Summary — key takeaways market size, key product insight, traction. Jeremy has been a qualified supervisory analyst SA since , and as such is authorized to approve securities research for U.
As regards the risks to investment views that analysts need to highlight to their investors, the book not only examines economic and financial risks but also examines corporate governance issues such as executive compensation, equal treatment of shareholders, related-party transactions and risk management. To demonstrate the risks that analysts, securities professionals and investors face, the book draws on many cases and examples from around the world, including many from the global financial crisis of From these cases we see how penalties for those involved in the securities markets have become more serious over the years.
They range from fines to imprisonment, and even to execution in some markets. To give a light-hearted angle, many of these cases are accompanied by "Alex" cartoons. Get A Copy.
Published December 1st by Wiley first published January 1st More Details Other Editions 5. Friend Reviews.
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