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Searching for: researcher is "uk society of investment professionals (uksip)"

Surveys listed in reverse order of publication date

Results 1-4 of 4.

Conflicts of Interest: Investment Research & Issues of Securities
Response to the FSA’s Consultation Paper 205
UK Society of Investment Professionals (UKSIP)
Dec 2003 United Kingdom Investment - General
The Society supports the general approach of the Financial Services Authority (FSA) to managing conflicts of interest by adopting principle based proposals consistent with European Union directives and developments in the US. It says that an essential requirement to the effective management of conflicts of interest is the maintenance of high professional standards at both the firm and individual levels. 

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Dec 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

971951AC   Click here to contact the authors.
 
Improving market standards in the Sterling and Euro Fixed Income Credit markets
Proposed best practice in the Sterling and Euro Fixed Income Credit markets
UK Society of Investment Professionals (UKSIP)
Oct 2003 United Kingdom Investment - General
This paper sets out proposed best practice in regard to minimum covenants for corporate investment grade issuers, issuer call options, documentation standards, disclosure, credit ratings, secondary market liquidity and the relationship between issuers and investors.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Oct 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

711799F0   Click here to contact the authors.
 
Bundled Brokerage and Soft Commissions
Response to FSA Consultation Paper 176
UK Society of Investment Professionals (UKSIP)
Oct 2003 United Kingdom Regulatory Bodies (excl. tPR), Investment - General
In responding to this paper, the researcher welcomes the important debate on the use of commissions but contends that more research is needed to establish the likely impact of the FSA’s proposals. UKSIP’s response addresses a wide range of issues related to the quality of investment research, the breath of coverage of such research, price formation issues and the competitiveness of the UK as a leading world market.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Oct 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

CF1731B0   Click here to contact the authors.
 
Conflicts of Interest: Investment Research and Issues of Securities
A response to the FSA's Consultation Paper 171
UK Society of Investment Professionals (UKSIP)
May 2003 United Kingdom Investment - General
In its response to the FSA's Consultation Paper 171, UKSIP suggests that a number of the regulatory proposals may need reconsideration. The Society is doubtful as to whether banning analysts from 'own account' dealing is the best way of managing the underlying conflict. The response also flags up the concern that a wide range of sub underwriters may be caught by the wording in the proposals to prevent the preparation of 'research' during 'quiet periods' before a company's securities are subject to an offer.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> May 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

7C13318D   Click here to contact the authors.
 

Results 1-4 of 4.