Whole Section

  • 15.7 Disclosure

    • 15.7.1

      A Trading Member and a research analyst must disclose:—

      (1) any interest at the date of the dissemination of the research report or investment recommendation in the subject of the report or recommendation. "Interest" includes direct or indirect ownership of securities or futures contracts (excluding the amount of securities or futures contracts owned), directorships, trustee positions, customer of the Trading Member or any other relationship that may be regarded as creating a potential conflict of interest with the Trading Member's responsibility under Rule 15.5.1(2); and
      (2) any monetary compensation (excluding salary and bonuses) or other benefits receivable in respect of the research report or investment recommendation.

      Amended on 3 April 20083 April 2008 and 8 October 20188 October 2018.