Potential Pitfalls of Securities Research
“Securities research” is invariably defined by its content and that content is increasingly under the scrutiny of regulators, regardless of whether you work for a broker, a bank, or even a website.
Mr. Bolland will provide insight into who might get caught up in this new world, and what they must know to avoid conflicts and other legal pitfalls. For reporters, Mr Bolland’s talk will also go into how to find relevancy in stock research reports, particularly with new requirements for disclosure of risks and governance issues within companies and industries.
Mr. Bolland has worked in the securities research departments of global investment banks, namely Morgan Stanley, ING Barings, and most recently HSBC. He has been a qualified supervisory analyst (SA) since 1997, and as such is authorized to approve securities research for U.S. distribution. He is the author of Writing Securities Research – A Best Practice Guide (John Wiley & Sons, 2007, 2nd ed 2010). He is also the author of A Guide to Investment in Enterprise Zones (Longman, 1988, 2nd ed 1990). He holds an honours degree in Classics from King’s College, London University, and studied Chinese at SOAS and Beijing Normal University.