Conflict of interest and Sell-side firm: Difference between pages

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A situation in which an individual or an organisation has multiple duties or interests which threaten the independence or integrity of their professional work.
A 'sell-side' investment firm is one which offers services including:
* Brokering
* Dealing
* Providing derivative products and solutions
* Advisory services
* Investment research


Examples of conflicts of interest include being the auditor of a company with which the auditor is connected through a personal or family interest.


Sell-side firms are contrasted with 'buy-side' firms, which are the corporate and other customers of the sell-side firms.


Conflicts of interest should normally be avoided altogether.


For example the ethical guidance of the Association of Corporate Treasurers (ACT) defines the fundamental principle of integrity to include:
==See also==
*[[Building a Debt IR function]]
*[[Buy-side firm]]
*[[Derivative instrument]]
*[[Hedging]]


"avoiding conflict between the member’s private self-interest and that of his employer or clients"
[[Category:Financial_products_and_markets]]
 
 
 
In certain limited circumstances, it may be possible to deal with some types of conflict of interest by disclosure and appropriate management.
 
 
== See also ==
* [[ACT Competency Framework]]
* [[ACT Ethical Code]]
* [[Auditor]]
* [[Connected person]]
* [[Independence]]
* [[Independent]]
* [[Integrity]]
* [[Interest]]
* [[Public interest]]
 
[[Category:The_business_context]]
[[Category:Compliance_and_audit]]
[[Category:Ethics]]

Latest revision as of 09:07, 2 July 2022

A 'sell-side' investment firm is one which offers services including:

  • Brokering
  • Dealing
  • Providing derivative products and solutions
  • Advisory services
  • Investment research


Sell-side firms are contrasted with 'buy-side' firms, which are the corporate and other customers of the sell-side firms.


See also

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