BC-2.10.10
Past version: Effective from 01 Jul 2007 to 30 Jun 2015
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(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 .
Amended: January 2007