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BC-8.12.8

Where a conventional bank licensee issues investment research, its conflict of interest policy must specify the types of investment research issued by it. A conventional bank licensee that prepares and publishes investment research must have adequate procedures and controls to ensure:

(a) The effective supervision of investment analysts by following at the very least the items listed in Paragraph BC-8.13.11;
(b) That any actual or potential conflicts of interest are managed in accordance with Rule BC-8.12.1; and
(c) That the investment research issued to customers is not biased.
Added: April 2008