Regulatory Alerts2012-12-10 | RG-079RG 79 Research report providers: Improving the quality of investment research
The Australian Securities and Investments Commission issued this guide for Australian financial services licensees acting as research report providers. It provides guidance on licensing and conduct obligations under Part 7.7 of the Corporations Act 2001 as they apply to general advice prepared for retail and wholesale clients. The document specifically targets research analysts, securities analysts, and research houses regarding the quality of their investment research reports.
Issued 10 December 2012 This guide is for Australian financial services licensees who are research report providers. It is directed towards providers of research on investment products—known variously as research analysts, securities analysts or research houses—and the research reports they provide.
It provides guidance on certain licensing and conduct obligations in Pt 7.7 of the Corporations Act 2001 as they apply to general advice prepared by research report providers for retail and wholesale clients.
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