After the Bubble has Burst: New Regulations for Research Analysts in the U.S.

Topics:
Investment and Capital Markets
Tags:
Finance,
Financial Planning,
Government,
Regulations,
Regulator,
Research Analyst,
Securities Industry Association
Source:
Securities Industry Association

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Overview: Recent revelations of serious misconduct by certain high profile research analysts during the boom years of the 1990s has forced securities market regulators and market participants alike to examine how conflicts of interest, particularly those arising from the production and dissemination of research, can be better managed in today's integrated financial services firms. This issue has been particularly important in the U.S., where market participants, regulators, legislators and law enforcement officials have all contributed to the regulatory framework regarding research related conflicts of interest that is emerging.

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Format: PDF | Size: 408KB | Date: May 2003 | Pages: 12

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