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标题: [求助]谁能通俗的解释一下RESTRICTED LIST? [打印本页]

作者: ruobingyan    时间: 2008-9-5 01:38     标题: [求助]谁能通俗的解释一下RESTRICTED LIST?

下面这道题中出现了这个词:

Example 3. Walter Fritz is an equity analyst with Hilton Brokerage who covers

the mining industry. He has concluded that the stock of Metals & Mining is

overpriced at its current level, but he is concerned that a negative research report

will hurt the good relationship between Metals & Mining and the investmentbanking

division of his firm. In fact, a senior manager of Hilton Brokerage has

just sent him a copy of a proposal his firm has made to Metals & Mining to

underwrite a debt offering. Fritz needs to produce a report right away and is

concerned about issuing a less-than-favorable rating.

. Walter Fritz is an equity analyst with Hilton Brokerage who covers

the mining industry. He has concluded that the stock of Metals & Mining is

overpriced at its current level, but he is concerned that a negative research report

will hurt the good relationship between Metals & Mining and the investmentbanking

division of his firm. In fact, a senior manager of Hilton Brokerage has

just sent him a copy of a proposal his firm has made to Metals & Mining to

underwrite a debt offering. Fritz needs to produce a report right away and is

concerned about issuing a less-than-favorable rating.

Comment: Fritz’s analysis of Metals & Mining must be objective and based

solely on consideration of company fundamentals. Any pressure from other

divisions of his firm is inappropriate. This conflict could have been eliminated

if, in anticipation of the offering, Hilton Brokerage had placed Metals

& Mining on a restricted list for its sales force.

: Fritz’s analysis of Metals & Mining must be objective and based

solely on consideration of company fundamentals. Any pressure from other

divisions of his firm is inappropriate. This conflict could have been eliminated

if, in anticipation of the offering, Hilton Brokerage had placed Metals

& Mining on a restricted list for its sales force.


作者: Cody2008    时间: 2008-9-5 14:06

这个词难道有很深的意思吗?就是一个限制交易的黑名单阿~ [em01]






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