Guidelines
 Last Revised Date: 08 October 2018

Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]

Guidelines on conflicts of interest that may arise from issuing or promulgating research analyses or research reports that contain opinions or recommendations about a specific investment product.
Applies to: Licensed Financial Adviser , Exempt Financial Adviser
View Document Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13] (159.8 KB)

These guidelines apply to all licensed financial advisers and exempt financial advisers.

They set out examples of potential conflicts of interest that may arise from issuing or promulgating research reports that contain opinions or recommendations about clearly identifiable investment products. They cover the standards and practices expected of financial advisers in dealing with such conflicts of interest.

Amendment Notes

08 Oct 2018
FAA-G13 (Amendment) 2018 takes effect.