CP 171 Strengthening the regulation of research report providers including research houses
Released 16 November. Comments closed 3 February 2012.
This paper sets out our proposals for updating our guidance on research reports in Regulatory Guide 79 Managing conflicts of interest: An ASIC guide for research report providers (RG 79). Our proposals are based on a recent ASIC review of the research house sector.
We seek feedback from research report providers (including research houses), financial advisory firms, industry associations and other interested parties on our proposals.
Download the paper (PDF 413 KB) | Read the media release | Read the report on submissions | View current RG 79
| Submission from | Date received | |
 1 |
Australian Bankers' Association Inc (ABA) |
15 February 2012
|
2 |
ACI |
1 February 2012
|
3 |
Australian Financial Markets Association |
6 February 2012
|
4 |
Bell Potter Group |
2 February 2012
|
5 |
Canstar |
2 February 2012
|
6 |
Financial Planning Association (FPA) |
3 February 2012
|
7 |
Launch |
3 February 2012
|
8 |
Melbourne Compliance Forum |
3 February 2012
|
10 |
Select Equities |
31 January 2012
|
11 |
St David's Road Advisory |
6 February 2012
|
12 |
Stockbroker's Association |
9 February 2012
|
13 |
Van Eyk |
3 February 2012
|
14 |
Westpac |
10 February 2012
|
15 |
Zenith |
7 February 2012
|