高盛IPO全套詳細教程pdf格式免費版

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高盛IPO全套詳細教程內容節(jié)選

What the Headlines Say What the Headlines Say… …Investment Banks Investment BanksInsider Trading  Insider Trading 

Research Independence Research IndependenceSecurities Distribution Securities DistributionPrincipal vs. Advisor Principal vs. AdvisorProduct Suitability Product SuitabilityRisk Management Risk Management

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What the Headlines Say What the Headlines Say… …Clients ClientsAccounting / Financial Manipulation Accounting / Financial ManipulationMoney laundering Money launderingBribery Bribery

Collusion / price fixing Collusion / price fixingOptions backdating Options backdatingExecutive compensation Executive compensationBoard room spying Board room spyingIntellectual property Intellectual propertyProduct safety Product safetyBusiness practices Business practices

Social issues Social issues

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2.  Our assets are our people, capital and reputation.  If any  #2.  Our assets are our people, capital and reputation.  If any of  of these is ever diminished, the last is the most difficult to rest these is ever diminished, the last is the most difficult to restore.   ore.  We  We are dedicated to complying fully with the letter and spirit of t are dedicated to complying fully with the letter and spirit of the laws,  he laws, rules and ethical principles that govern us rules and ethical principles that govern us. Our continued success  . Our continued success depends upon unswerving adherence to this standard. depends upon unswerving adherence to this standard.

12.  We regularly receive  #12.  We regularly receive confidential information confidential information as part of our  as part of our normal client relationships.  To breach a confidence or to use  normal client relationships.  To breach a confidence or to use confidential information improperly or carelessly would be  confidential information improperly or carelessly would be unthinkable. unthinkable.

13.  Our business is highly competitive, and we aggressively se #13.  Our business is highly competitive, and we aggressively seek  ek to expand our client relationships.  However, we must always be  to expand our client relationships.  However, we must always be fair  fair competitors competitors and must never denigrate other firms. and must never denigrate other firms.

14.  Integrity and honesty are at the heart of our business.   #14.  Integrity and honesty are at the heart of our business.  We  We expect our people to maintain high ethical standards in everythi expect our people to maintain high ethical standards in everything  ng they do, both in their work for the firm and in their personal l they do, both in their work for the firm and in their personal lives. ives.

Our Business Principles Our Business Principles

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