Wednesday, May 20, 2009

Merrill Lynch - Policy - Research - Conflicts - 2004

http://www.ml.com/media/43347.pdf


The above document contains the policy announced in 2004 in connection with FSA's (UK) requirements.

Merrill Lynch’s policies and actions resolving conflicts of interest include:

(a) the provision of internal guidance and training on the identification of
possible issues of conflicts of interest as and when they arise;

(b) escalation procedures for ensuring that issues identified are referred to
and considered at the appropriate level within the Firm;

(c) Merrill Lynch’s Control Room monitors potential conflicts of interest
arising in connection with the publication of research in the period
before, during and after Investment Banking transactions;

(d) editorial guidelines and procedures for supervisory and compliance
review of research prior to publication;

(e) the Research Department’s Research Recommendation Committee is
required to approve all investment ratings changes.

40 comments:

proswet654 said...

若對自己誠實,日積月累,就無法對別人不忠了。..................................................

無聊 said...

路過--你好嗎..很棒的BLOG.........................................

時尚 said...

很棒的分享~如有打擾之處,敬請原諒!........................................

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采瑩 said...

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志義 said...

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慶天 said...

好的blog值得一推再推啦..............................

佩GailBohanan1蓉 said...

愛情不是慈善事業,不能隨便施捨。............................................................

BryannaR22369 said...

Wise men learn by other mens mistakes; fools by their own. ............................................................

伯臻伯臻 said...

到處逛逛~~來繞繞留個言囉~~~~.................................................................

曉薇 said...

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江婷 said...

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泓發 said...

人生是故事的創造與遺忘。............................................................

陳登陽 said...

向著星球長驅直進的人,反比踟躕在峽路上的人,更容易達到目的。............................................................

珮陽 said...

It takes all kinds to make a world.............................................................

吳婷婷 said...

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吳婷婷 said...

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江美娟江美娟 said...

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凱許倫 said...

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孫邦柔 said...

路過留言支持~~~............................................................

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詹莉 said...

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