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증권회사 애널리스트의 이해상충 규제
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증권회사 애널리스트의 이해상충 규제.hwp
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증권회사 애널리스트의 이해상충 규제.hwp
[Size :
81 Kbyte
]
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자료설명
증권회사 애널리스트의 이해상충 규제에 대해 조사한 자료입니다.
증권회사애널리스트의
증권회사애널리스트의
목차/차례
- []
- Ⅰ. 검토 배경
- Ⅱ. 조사분석의 개념 및 이해상충 요인
- 1. 증권회사 조사분석업무의 의의 및 기능
- 2. 조사분석 및 애널리스트 관련 이해상충
- Ⅲ. 미국의 애널리스트 이해상충에 대한 규제
- 1. 미국의 규제체계 개관
- 2. 법적규제
- 3. 자율규제
- Ⅳ. 한국의 애널리스트 이해상충에 대한 규제
- 1. 한국의 규제체계 개관
- 2. 법적규제
- 3. 자율규제
- Ⅴ. 시사점
- Ⅵ. 개선 및 발전 방향
- 1. 애널리스트 이해상충 사실의 공시 확대
- 2. 증권거래법에 포괄적인 규정 설치
- 3. 민사상의 손해배상책임 강화
- 4. 투자자 교육
- 인용 문헌
참고문헌
인용 문헌
김형태·김근수·오승현·조성훈·한상범·김란영, 2002, 『증권회사의 경영전략』, 한국증권연구원, 조사보고서 02-05.
AIMR, 2002, Research Objective Standards Analysts, http://www.aimr. org/pressroom/02releases/02aimr-ros.html.
Attorney General of the State of New York, 2002a, Affidavit in Support of Application for an Order Pursuant to General Business Law Section 354.
__________, 2002b, Agreement between the Attorney General of the State of New York and Merrill Lynch, Pierce, Fenner & Smith, Inc., dated May 21, 2002.
FSA, 2002, Investment Research: Conflicts & Other Issues, Discussion Paper 15.
____, 2003, Conflicts of Interest: Investment Research and Issues of Securities, Consultation Paper 171.
Gross, Jill I., 2002, Securities Analyst`s Undisclosed Conflicts of Interest: Unfair Dealing or Securities Fraud?, Columbia Business Law Review, 631-676.
Levitt, Arthur, 2002, Take on the Street, Pantheon Books, New York.
NASD, 2002, Rule 2711 “Research Analysts and Research Reports,” http://www.nasdr.com/rules.asp.
______, 2003, NASD Guide to Understanding Securities Analyst Re- commendation, http://www.nasdr.com/analyst_brochure.htm.
NYSE, 2002, Rule 472 “Communications with the Public,” http://www.nyse.com/regulation.html.
SEC, 2000, Final Rule: Selective Disclosure and Insider Trading, http://www.sec.gov/rules/final/33-7881.htm.
____, 2001, Written Testimony Concerning Conflicts of Interest Faced by Brokerage Firms and Their Research Analysts, http://www. sec.gov/news/testimony/073101tslu.htm.
____, 2002, Analyzing Analyst Recommendations, http://www.sec.gov/ investor/pubs/analysts. htm.
____, 2003, Regulation Analyst Certification, http://www.sec.gov/rules /final/33-8193.htm.
SIA, 2001, The Roles and Responsibilities of Securities Analysts, http://www.sia.com/reference_materials/pdf/RsrchRprtWol2-7.pdf.
Vinod, Hrishikesh D., 2002, Divest Investment Banking from Financial Institutions, mimeo, Fordham University.
김형태·김근수·오승현·조성훈·한상범·김란영, 2002, 『증권회사의 경영전략』, 한국증권연구원, 조사보고서 02-05.
AIMR, 2002, Research Objective Standards Analysts, http://www.aimr. org/pressroom/02releases/02aimr-ros.html.
Attorney General of the State of New York, 2002a, Affidavit in Support of Application for an Order Pursuant to General Business Law Section 354.
__________, 2002b, Agreement between the Attorney General of the State of New York and Merrill Lynch, Pierce, Fenner & Smith, Inc., dated May 21, 2002.
FSA, 2002, Investment Research: Conflicts & Other Issues, Discussion Paper 15.
____, 2003, Conflicts of Interest: Investment Research and Issues of Securities, Consultation Paper 171.
Gross, Jill I., 2002, Securities Analyst`s Undisclosed Conflicts of Interest: Unfair Dealing or Securities Fraud?, Columbia Business Law Review, 631-676.
Levitt, Arthur, 2002, Take on the Street, Pantheon Books, New York.
NASD, 2002, Rule 2711 “Research Analysts and Research Reports,” http://www.nasdr.com/rules.asp.
______, 2003, NASD Guide to Understanding Securities Analyst Re- commendation, http://www.nasdr.com/analyst_brochure.htm.
NYSE, 2002, Rule 472 “Communications with the Public,” http://www.nyse.com/regulation.html.
SEC, 2000, Final Rule: Selective Disclosure and Insider Trading, http://www.sec.gov/rules/final/33-7881.htm.
____, 2001, Written Testimony Concerning Conflicts of Interest Faced by Brokerage Firms and Their Research Analysts, http://www. sec.gov/news/testimony/073101tslu.htm.
____, 2002, Analyzing Analyst Recommendations, http://www.sec.gov/ investor/pubs/analysts. htm.
____, 2003, Regulation Analyst Certification, http://www.sec.gov/rules /final/33-8193.htm.
SIA, 2001, The Roles and Responsibilities of Securities Analysts, http://www.sia.com/reference_materials/pdf/RsrchRprtWol2-7.pdf.
Vinod, Hrishikesh D., 2002, Divest Investment Banking from Financial Institutions, mimeo, Fordham University.
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