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Profiles

  • Roger Jenkins
    Roger Allan Jenkins (born 30 September 1955) is a British financier currently awaiting trial for conspiracy to commit fraud and the provision of unlawful financial assistance by the Serious Fraud Off...
  • John Mercer Walker, Sr. (1909 - 1990)
    Dr. John Mercer Walker, Sr. (January 15, 1909 – August 16, 1990) was an American physician and investment banker. A member of the prominent Bush-Walker family, he was a maternal uncle of US President...
  • Sir Michael Moritz
    Sir Michael Jonathan Moritz KBE (born 12 September 1954) is a Welsh-born venture capitalist with Sequoia Capital in Menlo Park, California in Silicon Valley, a philanthropist and author of the first ...
  • Charles Edwin Lord, II (1928 - 1993)
    Charles Edwin Lord II also known as Charles E. Lord. (April 26, 1928 in New York City – January 8, 1993 in Bridgeport, Connecticut) was an investment banker and appointed Vice-Chairman of the Export-...
  • Ian Mackintosh
    Mackintosh, Ian was born on March 3, 1940 in Strathaven, Scotland. Came to the United States, 1982. Son of John A. Mackintosh and Elizabeth (West) Goldie. Executive director Citicorp International Ba...

An investment bank is typically a private company that provides various financial-related and other services to individuals, corporations, and governments such as raising financial capital by underwriting or acting as the client's agent in the issuance of securities. An investment bank may also assist companies involved in mergers and acquisitions (M&A) and provide ancillary services such as market making, trading of derivatives and equity securities, and FICC services (fixed income instruments, currencies, and commodities).

Unlike commercial banks and retail banks, investment banks do not take deposits. From the passage of Glass–Steagall Act in 1933 until its repeal in 1999 by the Gramm–Leach–Bliley Act, the United States maintained a separation between investment banking and commercial banks. Other industrialized countries, including G7 countries, have historically not maintained such a separation. As part of the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd–Frank Act of 2010), the Volcker Rule asserts some institutional separations of investment banking services from commercial banking.

The two main lines of business in investment banking are called the sell side and the buy side. The "sell side" involves trading securities for cash or for other securities (e.g. facilitating transactions, market-making), or the promotion of securities (e.g. underwriting, research, etc.). The "buy side" involves the provision of advice to institutions that buy investment services. Private equity funds, mutual funds, life insurance companies, unit trusts, and hedge funds are the most common types of buy-side entities.

An investment bank can also be split into private and public functions with a Chinese wall separating the two to prevent information from crossing. The private areas of the bank deal with private insider information that may not be publicly disclosed, while the public areas, such as stock analysis, deal with public information.

An advisor who provides investment banking services in the United States must be a licensed broker-dealer and subject to U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulation.

https://en.wikipedia.org/wiki/Investment_banking