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NISM Certifications · NISM-Series-XV: Research Analyst · Introduction to Research Analyst Profession

Analyst Meera, registered with SEBI, plans to appear on a TV channel and discuss her view on a listed bank. Which combination of conduct is consistent with the regulations?

Meera should disclose her holdings and interests in the bank, identify herself as a registered analyst with her registration number, and keep records of the appearance. Public appearances carry the same disclosure duties as written reports, and guarantees or selective tipping are not permitted.

  1. ADisclose her interest and holdings in the bank, state that she is a registered analyst with her registration number, and keep records of the appearanceCorrect
  2. BAvoid disclosing holdings since TV discussions are not written reports
  3. CShare the view first with a few select clients before the broadcast and then disclose
  4. DMake a guaranteed-return claim to improve viewer engagement

Explanation

Public appearances require the same disclosures as reports, and the analyst must maintain records of them. Selective pre-sharing of views risks unfair advantage and misuse, and guaranteeing returns is a prohibited misleading claim. Hence only the first option is consistent.

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