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Analyst Investment Banking Incentives: The Impact of Regulation on Analyst and Investor Behaviour and Deal Flow

Tseng, Yen-Jung


In 2002 and 2003, a series of regulatory reforms (e.g. the Global Settlement or the ‘GS’; the Self-Regulatory Organization Rules or the ‘SRO Rules’) were introduced which intended to curb analysts’ potential conflicts of interest arising from their investment banking incentives. My thesis examines whether and how the 2002/3 reforms affect the quality of primary analyst outputs and their consequent impacts on investors and brokers’ investment banking deal...[Show more]

CollectionsOpen Access Theses
Date published: 2018
Type: Thesis (PhD)
DOI: 10.25911/5cd401f18409c


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