Released 30 June 2017. Comments close 31 August 2017.
This consultation paper seeks feedback on our proposals to provide further guidance on managing conflicts of interest and material, non-public information (MNPI) involving sell-side research. Our proposals supplement our guidance in Regulatory Guide 79 Research report providers: Improving the quality of investment research (RG 79).
We seek feedback on our proposals from users and providers of sell-side research such as market participants, investment banks, independent corporate advisers, buy-side investors and other interested parties.
This paper attaches a draft of the proposed Regulatory Guide 000 Sell-side research.
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Related documents
- Report 560 Response to submissions on CP 290 Sell-side research
- Final RG 264 Sell-side research
- Media release
Submissions
- Association of Securities & Derivatives Advisers of Australia (PDF 6.4 MB)
- Australian Financial Markets Association (PDF 275 KB)
- Euroz Securities Limited (PDF 143 KB)
- Financial Planning Association of Australia (PDF 60 KB)
- Law Council of Australia (PDF 209 KB)
- Stockbrokers and Financial Advisers Association Limited (PDF 292 KB)
- Zenith Investment Partners (PDF 217 KB)