Beyond the Product: Evaluating Suitability Across Risk Profiles

Imagine you are analyzing a portfolio for a client who is approaching retirement in India. Your firm’s research department has just released a strong 'buy' rating on a volatile, mid-cap infrastructure stock with a...

Formalizing Disclosures: Moving Beyond Oral Promises in Advisory Agreements

Imagine you are an investment adviser at a mid-sized wealth management firm in Mumbai. You have spent weeks finalizing an asset allocation strategy for a high-net-worth client, incorporating a promising new private...

Managing Conflicts of Interest: Beyond Mere Disclosure

Imagine you are a research analyst at a domestic brokerage firm in Mumbai. You are finalizing an equity research report on a mid-cap manufacturing company, and your firm’s investment banking division is simultaneously...