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BC-2.10.8

Where an investment firm licensee issues investment research, its conflicts policy must specify the types of investment research issued by it. An investment firm 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-2.12.11;
(b) That any actual or potential conflicts of interest are managed in accordance with Rule BC-2.10.1; and
(c) That the investment research issued to clients is not biased.
Amended: January 2007