Event Detail

The 3Cs of securities research covers the compliance, content, and commerciality aspects associated with the research produced by securities analysts.

The content of this seminar will resonate with both sell-side and buy-side analysts, in addition to research managers, editors and compliance officers and students of finance. Those involved in selling and marketing research should also attend since you are subjected to the same rules and regulations and you may need to understand the restrictions that analysts operate under.

More:
• Compliance - the main legal and regulatory risks faced by research analysts and their firms. These include conflicts of interest, front-running, insider trading, defamation, and copyright infringement.

• Content - how do we satisfy the need to provide a reasonable basis for recommendations as well as highlight risks to clients? Cases relating to poison pills, related-party transactions, vote-rigging and independent non-executive directors will be discussed.

• Commercial - from the angle of an analyst’s job, such as how to get noticed and ideas for screening their coverage universe to produce baskets of stocks that may satisfy certain clients’ needs.

Speaker Introduction

Jeremy Bolland is a training consultant for BNP Paribas. He has over 25 years of experience in the world of investments, and has worked in London, Tokyo, and Hong Kong. Jeremy has been a qualified supervisory analyst (SA) since 1997, and as such is qualified to approve securities research for U.S. distribution. For the past 16 years he has worked in securities research at global investment banks, including five years at Morgan Stanley, five years as a director at ING/ING Barings, and five years at HSBC where his final role was Head of Training for Global Research. Prior entering the securities industry, Jeremy was marketing director and company secretary for a property development company that undertook industrial and commercial projects throughout the U.K. as tax-shelter investments for corporate and high net worth individuals. Jeremy is also the author of A Guide to Investment in Enterprise Zones and Writing Securities Research: A Best Practice Guide. He regularly addresses CFA societies on the risks that their members face as chartered financial analysts and frequently addresses audiences of regulators, lawyers, and law students. Jeremy grew up in Malaysia, holds an honors degree in Classics from King’s College, London University, and studied Chinese at SOAS and Beijing Normal University.