新浪首页 > 新浪教育 > 《全球性金融机构求职指南》 > 谨慎和有责任地分享信息

Sharing Information But Do It Responsibly
http://www.sina.com.cn 2004/07/19 17:29  新浪教育

  Financial industry thrives on the ability to gather, organize, analyze, interpret and utilize information. Sharing information with your colleagues in the firm is the basic professional courtesy expected from you. In fact, most of the daily activities such as morning conference calls, broadcasts through the squawk box, after-market conference calls, online bulletins and websites of in-house research and teleconference calls are organized to share essential information with each other. Research analysts, block traders, market makers, product strategists, derivative specialists may require some particular information to factor into the pricing and whatever they are doing for the firm. If you know of some useful information but intentionally withhold it, you may be viewed very unfavorably. However, what must be stressed here is that you must do it responsibly in two aspects:

  1.Material information that are not public. If you have obtained or acce-ssed to material information that have not been made publicly available, you should not profit from it or share it with anyone. The correct thing to do is to report it to your compliance officer and to abstain from the activities that may compromise you or your firm.

  2.If you have doubt on the validity or the basis of the information, you must exercise judgement before sharing it without qualification, as this may lead to charges of misrepresentation.

谨慎和有责任地分享信息

  金融行业得以繁荣成长,有赖于其对信息的搜集、整理、分析、理解和应用。这一行业的基本职业要求就是把你的信息与同事们共享。实际上,大部分的日常交流平台,比如清晨会议、广播、 闭市后会议、网上公告和内部研究的网站以及电话会议都是为了与大家分享基本信息。研究分析家、巨额交易员、做市交易员、产品策略家、衍生产品专家等都需要特定的信息,以便计算价格或为客户开展其他工作。如果你掌握某些有用信息却故意隐瞒,你在别人眼中的形象会很糟糕。然而要强调的是,与人分享信息时必须注意以下两点:

  1.尚未公开的信息实体。如果你掌握了或接触到尚未公开的信息实体,不要从中牟利,也不要与他人分享。正确的做法是向稽查人员汇报,并且克制自己,不要做有损公司和个人名誉的事。

  2.在对信息的有效性或来源有质疑时,必须作出判断。同时也要慎重考虑是否要在未被授权的情况下与他人分享该信息,因为这样做可能导致因代理不当而受到指控。




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