BC-2.10.9
Past version: Effective from 01 Jul 2007 to 30 Jun 2015
To view other versions open the versions tab on the right
(a) Identifies the types of clients for which it is principally intended;
(b) Distinguishes fact from opinion or estimates, and includes references to sources of data used;
(c) Specifies the date when it was first published;
(d) Specifies the period the ratings or recommendations are intended to cover;
(e) Contains a clear and unambiguous explanation of the rating or recommendation system used;
(f) Includes a price chart or line graph depicting the performance of the financial instrument for the period that the investment firm licensee has assigned a rating or recommendation for that financial instrument , which must also show the dates on which the ratings were revised; and
(g) Includes a distribution of the different ratings or recommendations, in percentage terms:
(i) For all financial instruments in respect of which the investment business licensee publishes investment research; and
(ii) For financial instruments , if any, where the investment firm licensee has undertaken corporate finance business with or for the issuer over the past 12 months.
Amended: January 2007