애널리스트의 법적규제에 관한 고찰
Research of Regulations on Financial Analysts
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Abstract
In this thesis, I studied how to come up with efficient ways to regulate conflicting interests of financial analysts who play a critical role in investors' protection and both quantitative and qualitative growth of the capital market. It is important because a distorted analysis can end up undermining the confidence in the fair securities market. To secure fairness and independence for research and analysis of analysts, it is very important to form complementary relations between legislative regulations and self-regulations. It is because self-regulations without authority, empowered by law, cannot effectively discipline offenders. Therefore, in order to create efficient regulations with constant affinity to prevent the conflict of interests of analysts like the regulations in the United States and the United Kingdom, it is critical and necessary to clarify requirements for registered analysts, substantiate the content of disclosure regarding the conflict of interest for independent research and analysis, and create realistic private relief regulations apart from the private law in order to guarantee the accuracy of research and analysis.
참고문헌 (26)
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