(with specific guidance for providers of research reports)

Released 29 October 2003. Comment closed 31 January 2004.

This policy proposal paper sets out:

• our general approach to compliance with the proposed statutory obligation to manage conflicts of interest in proposed s911A(1)(aa) (the conflicts management obligation) (Section A); and
• guidance for licensees generally on controlling, disclosing and avoiding conflicts of interest (Section B).

It also includes some questions for licensees generally to consider (Schedule 1) and specific guidance for providers of research reports (Schedule 2).

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