Centro de Documentación de Fundación MAPFRE - Ethical issues facing stock analysts

Notes: This article argues that the role of a sell-side analyst (sell-side analysts are securities research analysts that work for brokerage firms as opposed to those that work for money management firms) is inherently one of attempting to balance the interests of its varios constituencies. Although the further regulatory separation of investment banking and sell-side analysis created by the passage of the Sarbanes Oxley Act of 2002 and new regulations from the Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD) helped to reduce such conflicts, this article argues that conflicts conitnue to exist and in some cases are likely never to be solvedRelated records: En: Geneva papers on risk and insurance : issues and practice. - Geneva : The Geneva Association, 1976- = ISSN 1018-5895. - 01/07/2005 Tomo 30 Número 3 2005 , p. 451-466Materia / lugar / evento: Ética empresarial Intermediarios financieros Transparencia financiera Entidades financieras Gestión de activos Análisis de inversiones Fraude Secondary titles: Título: The Geneva papers on risk and insurance
Other categories: 922.15

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