INDI Subdivision S2.3.A.4 Research and analysis as part of advising on investments or other regulated activities

Examples of roles performing this function — research and analysis

•   corporate finance analyst
•   security or investment analyst
•   derivatives analyst

Guidance

Before assessing an individual's research and analytical skills, rule 4.1.3 (4) requires the regulated activity or activities to be conducted by the individual to be taken into consideration in deciding how far the competencies in this Subdivision apply. If the research and analysis to be performed by the individual are not in relation to a regulated activity (for example, if the research and analysis are for publication in a newspaper article that does not constitute giving advice on investments), the individual need not be assessed against those competencies. If the research and analysis are part of conducting the regulated activity of advising on investments, the individual must be assessed against those competencies.

S2.3.41 Analyse and report on the implications of sector economics on investments
S2.3.42 Analyse and report on the implications of national economics on investments
S2.3.43 Analyse and report on the implications of international economics and foreign exchange markets on investments
S2.3.44 Carry out financial and investment analysis of an individual business
S2.3.45 Carry out financial and investment analysis of a collective investment fund
S2.3.46 Provide equity capital research and analysis support for portfolio management activities
S2.3.47 Provide fixed interest securities research and analysis support for portfolio management activities
S2.3.48 Provide research and analysis of alternative investments support for portfolio management activities
S2.3.49 Provide cash and currencies research and analysis support for portfolio management activities
S2.3.50 Provide property based markets research and analysis support for portfolio management activities
S2.3.51 Interpret and analyse a collective investment fund’s objectives and parameters
S2.3.52 Benchmark a collective investment fund’s performance against investment objectives
S2.3.53 Review a collective investment fund portfolio and adjust investments within the fund’s objectives
Derived from QFCRA RM/2014-5 (as from 1st January 2015)
Amended by QFCRA RM/2022-2 (as from 1st April 2022).