CP 171 Strengthening the regulation of research report providers including research houses
Released 16 November. Comments closed 3 February 2012.
This paper sets out our proposals for updating our guidance on research reports in Regulatory Guide 79 Managing conflicts of interest: An ASIC guide for research report providers (RG 79). Our proposals are based on a recent ASIC review of the research house sector.
We seek feedback from research report providers (including research houses), financial advisory firms, industry associations and other interested parties on our proposals.
| Read the media release | Read the report on submissions | View current RG 79
| Ìý | Submission from | Date received |
 1 |
Australian Bankers' Association Inc (ABA) |
15 February 2012
|
2 |
ACI |
1 February 2012
|
3 |
Australian Financial Markets Association |
6 February 2012
|
4 |
Bell Potter Group |
2 February 2012
|
5 |
Canstar |
2 February 2012
|
6 |
Financial Planning Association (FPA) |
3 February 2012
|
7 |
Launch |
3 February 2012
|
8 |
Melbourne Compliance Forum |
3 February 2012
|
10 |
Select Equities |
31 January 2012
|
11 |
St David's Road Advisory |
6 February 2012
|
12 |
Stockbroker's Association |
9 February 2012
|
13 |
Van Eyk |
3 February 2012
|
14 |
Westpac |
10 February 2012
|
15 |
Zenith |
7 February 2012
|