CP 290 Sell-side research
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.
- Report 560 Response to submissions on CP 290 Sell-side research
- Final RG 264 Sell-side research
- Media release
- 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)