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Bộ mẫu chuyên viên phân tích đầu tư

Báo cáo phân tích cổ phiếu, so sánh doanh nghiệp tương đồng, báo cáo định giá DCF và hệ số, phân tích tín dụng trái phiếu và tờ trình hội đồng đầu tư.

Bước 1

Khám phá và đối chiếu chuẩn

  1. Equity Research Report Template (Reg AC, MAR Art. 20)

    Đầy đủ

    Initiation report: key data, thesis, business, industry, financials, forecasts, valuation and target price, risks, ESG, Reg AC and MAR disclosures

    Regulation AC (17 CFR 242.500-505); MAR Art. 20; Delegated Reg (EU) 2016/958

  2. Comparable Companies Analysis Template (Trading Comps)

    Đầy đủ

    Trading comps study: peer screen, conventions, calendarisation, EV build, multiples, statistics and outliers, positioning, implied range, football field

    Market practice; IVS 103 market approach (structure aligned, number only)

  3. Stock Pitch Template (Long or Short Equity Idea)

    Đầy đủ

    Recommendation and target, three-point thesis, variant perception, catalysts, bull/base/bear scenarios with KaTeX expected value, risks, sizing, exit triggers

    Buy-side practice; EU MAR Art. 20; SEC Regulation AC

  4. Performance Attribution Report Template (Brinson)

    Đầy đủ

    Returns vs benchmark, Brinson-Fachler and BHB effects, Carino linking, currency and fixed income attribution, Sharpe, IR, tracking error, factors

    Brinson-Fachler (1985) and Brinson-Hood-Beebower (1986) attribution; Carino linking

  5. Research and Soft Dollar Policy Template

    Đầy đủ

    Research payment policy: Section 28(e) three-step test, mixed-use allocation, CSA budget and broker vote, MiFID II research options after the Listing Act

    Exchange Act Section 28(e); SEC Release 34-54165; MiFID II Art. 24 as amended by Directive (EU) 2024/2811; Delegated Directive (EU) 2017/593 Art. 13
Bước 2

Đánh giá và an toàn

  1. Valuation Report Template (DCF, Comparables, Precedent Transactions)

    Đầy đủ

    Business valuation: standard of value, normalisation, forecast, DCF and WACC, trading comps, precedents, asset approach, sensitivity, reconciliation

    IVS (effective 2025-01-31), structure aligned; IFRS 13 and ASC 820 by name

  2. Bond Credit Analysis Template (Investor Credit Memo)

    Đầy đủ

    Investor bond credit view: internal rating, business risk, ratios, stress, liquidity, recovery waterfall, covenants, yield, duration, spread vs expected loss

    EU CRA Regulation 1060/2009 Art. 5a; CRD (Directive 2013/36/EU) Art. 77; Dodd-Frank s.939A
Bước 3

Quyết định

  1. Investment Committee Memo Template

    Đầy đủ

    IC decision record: decision requested, thesis, mandate fit and limits, scenario expected return, sizing and liquidity, diligence, ESG, conflicts, minuted vote

    17 CFR 275.204-2 (adviser records); MiFID II Art. 16(6) and Delegated Reg 2017/565 Art. 72-76; AIFMD Art. 14-15 (as amended by Directive (EU) 2024/927)