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4.39.7

Investment Recommendations

A Trading Member and its staff undertaking research activities must:

(a) have an adequate basis, supported by research, for making an investment recommendation;
(b) maintain independence and objectivity in producing a research report or making an investment recommendation; and
(c) not issue a research report or make an investment recommendation that is not consistent with its relevant staff's actual views regarding a subject company.

Added on 3 June 20193 June 2019.