28th Annual Symposium 2013.
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Research Conflicts of Interest Procedures
Research underlies all aspects of RFC Ambrian Limited’s (“RFC Ambrian”) business, from new issues and secondary fundraisings, through to supporting our corporate broking, corporate finance, and sales and trading teams. The quality, accuracy and timeliness of our equity research is key to our ability to service our institutional and corporate clients and, in light of this, we have built a team of analysts covering our core sectors.
RFC Ambrian adopts a team approach to stock and sector selection. We recognise that market sectors are linked to each other. By maximising dialogue between our sector analysts we gain a perspective on the stock market as a whole, helping us to identify broader economic trends and their likely effect on stock prices. We have implemented policies and procedures to monitor and mitigate the potential conflicts of interest involved in the preparation and publication of research. To view the complete research policy document please click here.
For all companies covered by RFC Ambrian research please click RFC Ambrian Coverage List This identifies those cases in which RFCA has a business relationship with the company or a material interest in the company, which could potentially conflict with our obligation to ensure that our investment research is clear, fair and unbiased.
RFC Ambrian Limited High Level Policy for Managing Conflicts of Interest
RFC Ambrian, as a multi-product financial services group, will inevitably find itself in situations where the interests of one client may compete with (i) those of another client; or (ii) the interests of RFC and/or its employees. In common with many financial institutions, RFC Ambrian has appropriate arrangements in place to identify and manage the conflicts which may arise during the normal course of its business activities.
This document summarises, at a high level, RFC’s approach to identifying and managing conflicts of interest and has been prepared in accordance with the requirements imposed upon the Firm by the Markets in Financial Instruments Directive (“MiFID”). It is for information purposes only and does not seek to provide detailed descriptions of the RFC Ambrian’s internal processes and procedures in relation to the identification and management of conflicts of interest. To view the complete conflicts of interest document please click here.
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