SOCIOPOLITICAL DYNAMICS IN RELATIONS BETWEEN TOP MANAGERS AND SECURITY ANALYSTS: FAVOR RENDERING, RECIPROCITY, AND ANALYST STOCK RECOMMENDATIONS
- FSA says �110m key facts are vital for consumers. Boles, Corey // Money Marketing;2/13/2003, p5
Reports on the product information disclosure proposals by independent financial advisers in Great Britain. Importance of ensuring consumers that they understand the products that they are buying; Preparation of disclosure documents focusing on regulatory warnings and limited branding warnings;...
- What you should expect from an investment manager. Corbin, David // Fort Worth Business Press;8/23/2002, Vol. 15 Issue 34, p26
Comments on the principles of trust and accountability in the investment management business. Obligations of investment managers who accept the public's trust; Association for Investment Management and Research's definition of ethics.
- Issuers and Fund Managers Agree on Standardizing Disclosure, But Little Else. Murphy, Gavin // Bond Buyer;11/17/2000, Vol. 334 Issue 31020, p28
Reports an agreement between fund managers and bond issuers on standardized disclosure rules for the municipal bond market in Northwestern States. Complaints of bond issuers on disclosure rules; Impact of retail-order periods on issuers; Use of designation as incentives for the underwriter team...
- Buy-Side Forum: Fund Managers to Issuers: More Disclosure, Please. DeSue, Tedra // Bond Buyer;2/27/2002, Vol. 339 Issue 31333, p26
Focuses on the meeting of fund managers in the Bond Buyer's Southeast Public Finance Conference held in February 2002 in Orlando. Importance of disclosure of information of bond issues by issuers; Lack of standardized system in bond issues; Discussion of merits of competitive sales of bonds and...
- Securities Regulation--Performance Fees Under the Investment Advisers Act: The Inadequacy of Disclosure Provisions. Bussey, Dean L. // Journal of Corporation Law;Spring86, Vol. 11 Issue 3, p457
This Comment will analyze the controversy surrounding the use of performance fees in advisory contracts, and the rule's response to those concerns. The analysis will begin by highlighting the congressional purpose in enacting the Investment Advisers Act, followed by a discussion of section...
- Revamp of the ADV form is a `massive undertaking'. Burr, Barry B. // Pensions & Investments;5/1/2000, Vol. 28 Issue 9, p2
Expounds on the implications of the United States Securities and Exchange Commission's proposed changing of the ADV forms filed by money managers. Accessibility of information over the Internet; Expected pressure on management fees; Increased demands for disclosure on conflicts of interests...
- Are We There Yet? Maier, Sandy // New Zealand Management;Jun2003, Vol. 50 Issue 5, Special section p5
Concerns issues about the disclosure of material information of companies to the public in New Zealand. Circumstances where the duty to speak arises; Use of continuous disclosure among New Zealand businesses; Derivative duties of disclosure rules.
- A Stakeholder Approach to the Ethicality of BRIC-firm Managers' Use of Favors. McCarthy, Daniel; Puffer, Sheila; Dunlap, Denise; Jaeger, Alfred // Journal of Business Ethics;Aug2012, Vol. 109 Issue 1, p27
This article investigates the use of favors by managers of BRIC firms to accomplish business goals, the ethicality of which should be determined by the moral reasoning in these countries rather than from a developed country perspective. We define a favor as an exchange of outcomes between...
- Three core values for bank clients. Basson, Deon // Finance Week;11/12/99, p50
Discusses the three core values or principles for bank clients in South Africa. Disclosure of information; Accountability; Materiality.