WRITING SECURITIES RESEARCH 撰写证券研究:实践指南 下载 网盘 txt 地址 rtf kindle docx pdf

In light of recent developments in global legislation, the role of analysts has become more complex and challenging. Many analysts seek to understand the underlying principles behind current laws and regulations around the world that have been prompted by Sarbanes-Oxley.

Writing Securities Research: A Best Practice Guide helps analysts to understand the regulatory and best practice issues that they constantly face. However, the advice contained is not just intended to help analysts stay out of jail and avoid penalties, it also suggests ways to write better research reports and be competitive.

This practical guide examines the issues that regulators and the press find important, including the definition and supervision of research, sourcing of information, insider trading, front-running and selective distribution, libel, copyright and plagiarism, conflicts of interest, and use of e-mail.

These are explained through the use of actual case studies taken from around the world.

The book also shows how to present recommendations, valuations, forecasts, risk assessments, and sensitive issues such as rumours & M&A speculation, politics & religion, and retractions & apologies in an acceptable manner, again with practical examples.

As such, the book is a useful reference tool for all securities professionals around the world, including equity and credit research analysts on both the buy and sell sides, securities research managers, financial advisers, wealth managers, financial editors, compliance officers, supervisory analysts, regulators, and students of finance, especially CFA students.

As Dr. Mark Mobius, President of Templeton Emerging Markets Fund, says in his foreword to the book, “There is a strong need for this book, it is relevant in any setting, and it will equip analysts with many useful tools to help them achieve success.”

The inclusion of the Alex cartoons to demonstrate serious issues in a light-hearted way is an added bonus.

Foreword

Introduction

Acknowledgments

Abbreviations

Chapter 1: Principles of Research

Chapter 2: Independence of Research and Conflicts of Interest

Chapter 3: Non-research: E-mails, Faxes and Internal Communications

Chapter 4: General Writing, Editing and Publishing Considerations

Appendix

Index

Jeremy Bolland has over 20 years of experience in the world of investments, and has worked in London, Tokyo, and Hong Kong. For the past 13 years he has worked at global investment banks, including a five-year stint at Morgan Stanley and five years as a

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"There is a strong need for this book by Jeremy Bolland, which dissects all issues relating to securities research. The requirement for better research does not only apply to the US securities market but to securities markets all over the world. This book is relevant in any setting. It will equip analysts with many useful tools to help them achieve success."—Mark Mobius, President, Templeton Emerging Markets Fund

"Jeremy Bolland's book is essential reading for all people involved in writing securities research. Moreover, it is not just a technical and legal guide, but also a timely reminder of the principles of good writing."—Andrew Leeming, Author of The Super Analysts

"Knowing your ratios and spreadsheets is no longer enough to become an investment analyst. As Jeremy Bolland points out, you need to know your do's and don'ts of how to approach clients and companies. 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."—Jake van der Kamp, Financial Columnist, South China Morning Post

"At last, here's a comprehensive yet easy-to-read guide explaining all the best practice principles involved in writing securities research. 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."—Anthony Espina, Chairman, Hong Kong Stockbrokers Association