证券分析师的职业认识

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1、瑞银证券研究部主管UBS中国区研究主管黄燕铭(KrisHuang)2011.4StrictlyConfidential卖方分析师的职业认识主要内容2.认识证券分析师3.国内分析师的发展历史与现状4.分析师的工作流程与能力要求5.证券分析师的培养路径1.认识一下UBS1三把金钥匙2DevelopmentofUBSinChinaUBShaslong-termcommitmentstotheChinacapitalmarketsandhasplayedanincreasinglyimportantroleinChinathroughstrategicinvestmentsUBShasbeendee

2、plyinvolvedinChinacapitalmarketsreformSecuritiesRepresentativeOfficeinBeijingSecuritiesRepresentativeOfficeinBeijingFirstpresenceinChinaFirstQFIILicenseawardedwithlargestquotainChinaAllowsUBStoofferit’sclientsanewrangeofinvestmentopportunitiesandunprecedentedaccesstoChinalocalmarketsGrantingofderiv

3、ativeslicenseEnableUBStoprovideclienttailor-madesolutionstomanagetheirspecificinterestrateandcurrencyrisksandtoenhanceinvestmentreturnsEnhanceFIRCbusinessinChinaAllowsUBStodeliverstructureddepositstowealthmanagementclientsInvestmentinBankofChinaCooperatewithBOCinthedevelopmentofinvestmentbankingand

4、securitiesproductsandservicesinChina,andforChineseclientsoperatinginternationally49%stakeinUBSSDICFundManagementCo.LtdContinuethegrowinginterestUBShasintheChinesefinancialservicesindustryTheJVcancapturenewopportunitiesinChineseinvestmentmanagementmarketOpeningofUBSBeijingBankBranchEnableFIRCandWeal

5、thManagementtofacilitateforeigncurrencydeposits,remittancesandsomeloansPlacetheBankanessentialstepclosertothegrantingofRenminbilicenseEstablishmentofUBSSecuritiesThefirstforeignfinancialinstitutiontoacquireeffectivedirectcontrolofaChinesedomesticsecuritiesfirmReflectsUBS’long-standingcommitmenttoCh

6、inaBecomeacatalystforthebroadertransformationofChina’ssecuritiesindustryHaveameaningfulpresenceinChina’sequitymarketMay2003Early1990’sAug2004Feb2005Apr2005Sept2005Sept2005-now3UBS-SProductsandServicesUBS-Soffersextensiveproducts&servicesthroughfivemajorbusinessstreams…UBSSecuritiesInvestmentBanking

7、EquitiesFixedIncomeWealthManagementAssetManagementA-shareIPOSecondaryplacementPrivateplacementDomesticconvertiblebondsDomesticM&AadvisoryInternationaltransactionEquityCapitalMarket(ECM)Institutionalagencybu