Custom print

BC-2.10.10

Past version: Effective from 18 Jul 2025 to 30 Jun 2007
To view other versions open the versions tab on the right

Investment firm licensees must take reasonable steps to ensure that when it publishes investment research, disclosure is made of the following matters:

(a) any financial interest or material interest that the investment analyst or a close relative has, which relates to the financial instrument;
(b) any shareholding by the investment firm licensee or its associate of 1% or more of the total issued share capital of the issuer;
(c) whether the investment firm licensee or its associate acts as corporate broker for the issuer;
(d) any material shareholding by the issuer in the investment firm licensee;
(e) any corporate finance business undertaken by the investment firm licensee with or for the issuer over the past 12 months, and any future relevant corporate finance business initiatives; and
(f) whether the investment firm licensee is a market maker in the financial instrument.