Investment Advisory
Investment advisory is about sharing the grounds for a decision. BNB provides analysis and opinions on IPOs and on investments before and after listing, while the final decision and its execution remain with you. We explain both the rationale and the risks, so that your judgment rests on firmer ground.
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Investment Advisory
Investment advisory refers to providing advice on the value of financial investment products or other investment assets prescribed by Presidential Decree, or on investment decisions regarding financial investment products and other instruments (including decisions on type, issue, acquisition or disposal, and the method, quantity, price, and timing thereof) (Article 6 of the FSCMA).
The investment advisory service is one in which the Company provides clients with professional opinions and strategies related to investment, while the actual execution of investments is carried out directly by the client.
Domestic newly listed IPO shares, Pre-IPO and mezzanine (CB, BW, etc.) linked investments, and trading in the secondary market after listing, among others.
Retail investors and professional institutional investors.
Who It's For
The investment advisory service is available to both retail investors and professional institutional investors. It is well suited to those who wish to keep their investment decisions in their own hands while broadening the grounds on which they make them.
Suited to institutions that have their own investment organization and trading infrastructure but need separate analysis and opinions on IPO shares and on investments around listing.
Suited to those who make their own investment decisions and trades but wish to broaden the basis for those decisions and review the risks in advance.
For retail investors, we first assess your investment profile by reviewing your investment objectives, financial situation, and investment experience, and then provide advice within a scope appropriate to that profile.
What We Advise On
We provide views on the issuer's business and financials, the offering price relative to comparable companies, and participation in bookbuilding and lock-up commitments.
We provide analysis on investments in companies preparing to list and on mezzanine-linked investments (CB, BW, etc.).
We provide views on price and supply-demand trends in the secondary market after listing, and on when to hold and when to sell.
What Advice Adds
Investment advice does not replace your decision; it adds grounds to it. These are the things BNB, which has provided IPO investment advice to institutional investors since 2010, considers important in its advice.
Our advice reflects a view that sees both sides of an IPO by the same standards—from the offering company's business and finances and its offer price against comparable companies to supply and demand after listing.
When IPO rules change—as with priority allocation for lock-up commitments, tighter eligibility for bookbuilding and the cornerstone investor system—we review together with you what the change means for the way you participate.
Along with our opinion, we explain the conditions under which it may prove wrong and the risks involved in investing. Losses can occur even when you invest in line with our advice.
We maintain information barriers between departments and publish on our website the key points of our policies on conflict-of-interest management and information barriers, as well as our investment solicitation guidelines.
Clients decide on and execute investments and trades themselves. BNB does not hold client assets or trade on clients' behalf.
Process
We listen to your investment objectives, your areas of interest, and the scope of advice you are looking for.
For retail investors, we assess your investment profile by reviewing your investment objectives, financial situation, investment experience, and related factors.
We explain the content and scope of the advice, the investment risks, and the fees, and then enter into an investment advisory agreement. A copy of the agreement is provided at signing.
We provide analysis and opinions within the scope and in the manner set out in the agreement.
You decide whether to invest and carry out the trades yourself. BNB does not hold your assets or trade on your behalf.
When market conditions or your goals change, we review the direction of the advice together with you.
Before You Sign
Before signing, retail investors have their investment profile assessed on the basis of their investment objectives, financial situation, and investment experience. We may decline to provide advice that does not match the assessed profile.
Please make sure you receive a full explanation of the advice, the fees, and the risks of investing, and feel free to ask about anything that is unclear at any time.
You will receive a copy of the agreement at signing. Please check the scope of the advice, the fees, the term of the agreement, and the conditions for termination.
Retail investors may withdraw their application for an investment advisory agreement within the period prescribed by the relevant laws.
Advice is an opinion to assist your judgment. The final investment decision, and the responsibility for it, rest with you.
FAQ
No. Under the investment advisory service, you carry out investments yourself. Our discretionary investment management service, under which both investment decisions and trading are entrusted to us, is offered to professional institutional investors.
Yes. The investment advisory service is available to both retail investors and professional institutional investors.
Not necessarily. Advice consists of analysis and opinion, and investment results depend on market conditions and changes in asset prices. Loss of principal may occur.
Fees are set in the agreement according to the scope and manner of the advice. Before you sign, we explain how fees are calculated and when they are payable.
Inquiry
Tel +82-2-476-4840 · info@bnbasset.com
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