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Brought over the wall
Situation in which a research Analyst at an Investment bank works for the Underwriting department for a corporate Client . Legally, these two departments are supposed to be kept separate because of the Risk in the Transfer of inside information and potential conflicts of Interest . also called "brought over the Chinese Wall".
Related Terms: 15
Analyst , Call , Client , Investment bank , Interest , Legal , Lien , Leg , PPO , Pot , Risk , Research , Transfer , Underwriting , Wall
Semi Related Terms: 653 CLICK HERE TO VIEW
10-K ,
Allowance for depreciation ,
Adjustable rate ,
Agent bank ,
Automatic Funds Transfer ,
Above par ,
Accrual of discount ,
Accrued interest ,
Amortization of premium ,
At par ,
All or any part ,
Analyst ,
At best ,
At call ,
Adjustable rate preferred stock ,
All-risks coverage ,
At risk ,
Add-on service ,
Abstract of title ,
Action to quiet title ,
As is ,
Assignment to creditors ,
Attorney in fact ,
Adjustable Rate Mortgage ,
Advance rate ,
Annual Percentage Rate ,
Applicable federal rate ,
Assignment of mortgage ,
A shares ,
Assets under management ,
Automatic investment plan ,
At the money ,
Absorption rate ,
Across the board ,
Additional paid-in capital ,
Average up ,
Against the box ,
At the bell ,
At the close ,
At the figure ,
At the full ,
At the market ,
At the opening order ,
Automated Pricing and Reporting System ,
Away from the market ,
Bank reconciliation ,
Below the line ,
Books of final entry ,
Books of original entry ,
Burn rate ,
Bank credit ,
Bank draft ,
Bank holding company ,
Bank Holiday ,
Banking Act of 1933 ,
Bank Note ,
Bank Trust Department ,
Bank-eligible issues ,
Below par ,
Benchmark interest rate ,
Bid-to-cover ratio ,
Bureau of Public Debt ,
Brought over the wall ,
Buying on margin ,
Buy on close ,
Buy on opening ,
Buy the book ,
Balance of payments ,
Bank Rate ,
Base interest rate ,
Board of Governors ,
Breaking the syndicate ,
Bill of exchange ,
Bill of sale ,
Breach of trust ,
By the book ,
Bank term loan ,
Base rate ,
Blanket lien ,
Blended rate ,
Broker loan rate ,
Bust-up takeover ,
Benchmark risk ,
B shares ,
Buy and write ,
Buy-side ,
Balanced investment strategy ,
Break-even tax rate ,
Breadth-of-market theory ,
Beat the gun ,
Capital investment ,
Capitalized interest ,
Cost Of Goods Sold ,
Cost of sales ,
Commercial bank ,
Compound interest ,
Consumer bank ,
Call ,
Call date ,
Called away ,
Called bond ,
Call price ,
Call protection ,
Call risk ,
Certificate of Participation ,
Committee on Uniform Securities Identification Procedures ,
Corporate bond equivalent ,
Corporate trust ,
Coupon rate ,
Credit analyst ,
Credit risk ,
Current production rate ,
Call money rate ,
Client ,
Code of procedure ,
Compliance department ,
Capitalization of income ,
Capitalization rate ,
Cap rate ,
Capital formation ,
Civilian unemployment rate ,
Cost of Living Adjustment ,
Cost-of-living index ,
Council of Economic Advisers ,
Cash and carry trade ,
Chasing the market ,
Cheapest to deliver ,
Chicago Board of Trade ,
Country risk ,
Cost-of-living rider ,
Certificate of stock ,
Corporate action ,
Corporate governance ,
Cost of carry ,
Corporate Financing Committee ,
Certificate of title ,
Contract for deed ,
Corporate fiduciary ,
Cancellation of debt ,
Certificate of Claim ,
Consumer interest ,
Cost of debt capital ,
Cost of funds ,
Closed-end investment company ,
C shares ,
Call option ,
Call ratio backspread ,
Call swaption ,
Class of options ,
Close to the money ,
Counterparty risk ,
Covered call ,
Certificate of Occupancy ,
Cloud on title ,
Cash or Deferred Arrangement ,
Class A Shares ,
Class B Shares ,
Corporate repurchase ,
Crash of 1929 ,
Crash of 1987 ,
Child and dependent care credit ,
Coefficient of determination ,
Cup and handle ,
Certificate of delivery ,
Close a position ,
Cornering the market ,
Curbs in ,
Corporate venture capital ,
Dealer bank ,
Deposit in transit ,
Date of issue ,
Date of payment ,
Deferred interest bond ,
Division of Enforcement ,
Division of Investment Management ,
Division of Market Regulation ,
Date of record ,
Dividend in arrears ,
Dividend rate ,
Desk (the) ,
Discount rate ,
Division of labor ,
De-escalation clause ,
De facto ,
Durable Power of Attorney ,
Date of maturity ,
Debtor in possession ,
Debtor-in-possession financing ,
Deed of Release ,
Deed of Trust ,
Default risk ,
Discharge of bankruptcy ,
Discharge of lien ,
Due-on-sale clause ,
Deep in the money ,
Deep out of the money ,
Deed of Surrender ,
Department of Housing and Urban Development ,
Direct transfer ,
Defensive investment strategy ,
Diversifiable risk ,
Dogs of the Dow ,
Double up ,
Depth of market ,
Downside risk ,
Effective annual interest rate ,
Electronic Funds Transfer ,
Eurodollar certificate of deposit ,
Exact interest ,
Equity risk premium ,
Escrowed to maturity ,
Event risk ,
Ex-legal ,
Either-or order ,
Exchange rate ,
Effective par ,
Economic growth rate ,
E-mini ,
Exchange for futures ,
Exchange for physical ,
Exchange of spot ,
European Central Bank ,
Export-Import Bank ,
Excluded risk ,
Effective tax rate ,
Ex-all ,
Explicit interest ,
Employee Retirement Income Security Act of 1974 ,
Even up ,
First In First Out ,
Form 10-Q ,
Federal Savings and Loan Association ,
First call date ,
Flight to quality ,
Floating-rate bond ,
Flow of funds ,
Federal Call ,
Fill or kill ,
Financial analyst ,
Front-ending an order ,
Floating exchange rate ,
Foreign exchange rate ,
Forward exchange rate ,
Forward P/E ,
Factors of production ,
Favorable balance of trade ,
Federal Reserve Bank ,
Federal Reserve Discount Rate ,
Foreign direct investment ,
Fee-for-service ,
Form 8-K ,
Form S-1 ,
Friends and family offering ,
Financial risk ,
Fixed rate ,
Fixed-rate loan ,
Fixed-Rate Mortgage ,
Floating rate ,
Forward interest rate ,
Forward Rate Agreement ,
Full faith and credit ,
Family of funds ,
Fund of funds ,
Free and clear ,
Fixed investment trust ,
Free right of exchange ,
Federal ID Number ,
Federal tax lien ,
Guaranteed Investment Contract ,
G-7 ,
General Agreement on Tariffs and Trade ,
G-8 ,
General lien ,
Growth and income fund ,
Gather in the stops ,
Generation-skipping transfer ,
Hart-Scott-Rodino Act of 1976 ,
Hit the bid ,
House call ,
House of issue ,
Health Insurance Portability and Accountability Act ,
Holder in due course ,
Home equity line of credit ,
Head and shoulders ,
Hammering the market ,
Held at the opening ,
Holding the market ,
Investment flows ,
Interest-bearing ,
In escrow ,
Interest rate collar ,
Interest rate risk ,
Interest rate swap ,
Investment bill ,
Investment-grade bond ,
Investment letter ,
Investment security ,
Investment value ,
In-house ,
Investment Advisor Act of 1940 ,
Investment bank ,
Investment banker ,
Investment Bankers Association ,
Investment banking ,
Investment banking group ,
Investment Company Act of 1940 ,
In line ,
Inflation rate ,
Investment multiplier ,
Interest rate futures ,
Interbank Rate ,
Insurable interest ,
Inside market ,
Insider Trading sanctions Act of 1984 ,
Interest ,
Interest expense ,
Internal Rate of Return ,
Indication of interest ,
Institutional pot ,
In intestacy ,
Inter vivos trust ,
Imputed interest ,
Interest deduction ,
Interest-only loan ,
Interest rate ,
Interest rate cap ,
Interest rate ceiling ,
Interest rate floor ,
In play ,
In-process research and development ,
Income risk ,
Investment company ,
Investment fund ,
Investment objective ,
Investment policy ,
Investment trust ,
Interest rate option ,
I/O strip ,
Inchoate interest ,
Interest-only strip ,
Investment property ,
In-service withdrawal ,
Idiosyncratic risk ,
Investment philosophy ,
Imbalance of orders ,
In and out ,
Inside spread ,
In sympathy ,
In the tank ,
Jointly and severally ,
Jumping the gun ,
Joint and several liability ,
Joint and survivor annuity ,
Last In First Out ,
Legal list ,
Lender of last resort ,
Law of one price ,
Limited risk ,
Lending at a rate ,
Limit-on-close order ,
Limit order information system ,
Law of demand ,
Law of supply ,
Limit up ,
London International Financial Futures and Options Exchange ,
London Inter-Bank Offer Rate ,
Letter of comment ,
Legal ,
Legal age ,
Legal entity ,
Legal risk ,
Legal assets ,
Lien ,
Lien affidavit ,
Line of credit ,
Loan-to-cost ,
Loan-to-value ,
Lock-in ,
Leg ,
Long leg ,
Leading the market ,
Locked in ,
Long-term gain or loss ,
Level I quotes ,
Member bank ,
Money center bank ,
Mutual Savings Bank ,
Municipal investment trust ,
Maintenance call ,
Make a market ,
Margin call ,
Margin rate ,
Market on close order ,
Mark-to-market ,
Merchant bank ,
Medium of exchange ,
Marginal propensity to consume ,
Mortgage lien ,
Market rate ,
Money at call ,
Mortgage interest deduction ,
Mortgage rate ,
Mortgage risk ,
Mill rate ,
Net interest margin ,
Net investment ,
National Bank ,
Negotiable certificate of deposit ,
Negotiable Order of Withdrawal ,
Nominal rate ,
Non-interest-bearing note ,
Notice of Sale ,
National Association of Securities Dealers ,
National Association of Securities Dealers Automated Quotations system ,
Negotiated underwriting ,
Null and void ,
No-lien affidavit ,
Notice of Default ,
Naked call ,
National Association of Real Estate Investment Trusts ,
Non-investment property ,
Off the books ,
Office of Thrift Supervision ,
Ordinary interest ,
Out-of-favor ,
Over-the-Counter ,
On-floor order ,
On margin ,
Or better ,
Operating rate ,
Open interest ,
Opinion of title ,
On account ,
On-the-spot loan ,
Out of the money ,
Old age, survivors, and disability insurance ,
On-balance volume ,
On close ,
On open ,
On the opening ,
Pooling of interests ,
Profit and loss statement ,
Pro forma ,
Par bond ,
Pass-through coupon rate ,
Payment-in-kind security ,
Premium over bond value ,
Premium over conversion value ,
Price Value of a Basis Point ,
Prior lien bond ,
Provisional call feature ,
Payment for order flow ,
P&L ,
Provision for income taxes ,
PPO ,
Pot ,
Pour-over will ,
Power of Attorney ,
Paid up ,
Personal interest ,
Prepaid interest ,
Prepayment risk ,
Prime rate ,
Principal risk ,
Prioritization of debt ,
Prime rate fund ,
Paid-in capital ,
Paid-in surplus ,
Private Investment in Public Equity ,
Preservation of capital ,
Point-and-figure chart ,
Painting the tape ,
Put/call ratio ,
Qualitative research ,
Reports and Records ,
Retention rate ,
Return of capital ,
Return on Capital ,
Return on Invested Capital ,
Return on Total Assets ,
Risk adjusted return ,
Run rate ,
Real interest rate ,
Regional bank ,
Rate covenant ,
Real Estate Mortgage Investment Conduit ,
Risk ,
Reading the tape ,
Regulation D ,
Regulation G ,
Regulation T ,
Regulation U ,
Research department ,
Round of funding ,
Rules of Fair Practice ,
Rate of exchange ,
Reciprocal of European terms ,
Regulated investment company ,
Real economic growth rate ,
Reduced paid-up insurance ,
Reinvestment risk ,
Regulation A ,
Reverse Take-Over ,
Right of first refusal ,
Right of rescission ,
Right to Know ,
Rate-improvement ,
Rate lock ,
Renegotiable rate ,
Revolving line of credit ,
Right of recourse ,
Roll over ,
Rule of 78 ,
Roll up ,
Right of redemption ,
Retirement Equity Act of 1984 ,
Research ,
Risk/return trade-off ,
Risk arbitrage ,
Risk-averse ,
Risk management ,
Risk neutral ,
Risk premium ,
Risk seeking ,
Return on Capital Employed ,
Rate of return ,
Real rate of return ,
Risk capital ,
Selling, General and Administrative Expenses ,
SG&A ,
Savings and Loan ,
Savings bank ,
Sight letter of credit ,
Simple interest ,
S&L ,
State bank ,
Securities and Exchange Commission ,
Spot rate ,
Step-up bond ,
Securities analyst ,
Segregation of securities ,
Sell-side analyst ,
Sell the book ,
Savings rate ,
Standard of living ,
Supply-side economics ,
Swap rate ,
Systemic risk ,
Second-to-die insurance ,
Separate account ,
Short interest ,
Short interest ratio ,
Small corporate offering registration ,
Statute of Limitations ,
Statutory investment ,
Sale and leaseback ,
Satisfaction of debt ,
Security interest ,
Start rate ,
Staggered board of directors ,
Systematic investment plan ,
Selling the spread ,
Short leg ,
Step-up warrant ,
Special use property ,
Step-up lease ,
Savings Incentive Match Plan for Employees ,
SEP Plan ,
Special situation ,
Selling short against the box ,
Shorting against the box ,
S Corporation ,
Separate tax returns ,
Short-term gain or loss ,
Standard mileage rate ,
Subchapter M ,
Subchapter S Corporation ,
Schedule C ,
Securities Act of 1933 ,
Securities Acts Amendments of 1975 ,
Securities Exchange Act of 1934 ,
Seek a market ,
S&P phenomenon ,
Stop and reverse ,
Supervisory analyst ,
Surveillance department ,
Times interest earned ,
Transfer ,
T-Bill ,
Term to maturity ,
Take a position ,
Two-sided market ,
Two-way market ,
Trailing P/E ,
Transfer agent ,
Tenancy by the entirety ,
Teaser rate ,
Truth in Lending ,
Two-step mortgage ,
Tax lien ,
Tenancy at will ,
Title search ,
Transfer tax ,
Transfer payments ,
Ten-bagger ,
The Street ,
Timing the market ,
Taxpayer Relief Act of 1997 ,
Tax Reform Act of 1986 ,
Tax Reform Act of 1993 ,
Technical analyst ,
Take a bath ,
U.S. Government Agency Security ,
U.S. Savings Bond ,
U.S. Treasury ,
U.S. Treasury Bill ,
U.S. Treasury Bond ,
U.S. Treasury Note ,
U.S. Treasury Securities ,
Unlimited risk ,
Underwriting ,
Underwriting agreement ,
Underwriting group ,
Underwriting spread ,
Unemployment rate ,
Unearned interest ,
Uncovered call ,
Unit Investment Trust ,
Unsystematic risk ,
Up volume ,
Unit of trade ,
Unit of trading ,
Variable rate ,
Wire transfer ,
With interest ,
Wall Street analyst ,
World Bank ,
Work force ,
Waiver of premium ,
Wall ,
Wall Street ,
Widow-and-orphan stock ,
W-2 Form ,
W formation ,
When, as, and if issued ,
X or XD ,
Year-over-year ,
Year-To-Date ,
Yield to call ,
Yield to maturity ,
Yield to worst ,
Y shares ,
Zero-investment portfolio