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Investment research

Past version: Effective from 01 Jul 2007 to 31 Dec 2010
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A document (other than a recommendation made to an individual client), distributed outside an investment firm licensee, which contains one or more of the following:

a) The results of research into an individual financial instrument;
b) Analysis of factors likely to influence the future performance of an individual financial instrument or its issuer; and
c) Advice or recommendations based on those results or that analysis.
Amended: July 2007