Establishing Internal policies and procedures

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..... lations, 2014 - Act-Rules - CHAPTER III MANAGEMENT OF CONFLICTS OF INTEREST AND DISCLOSURE REQUIREMENTS Establishing Internal policies and procedures. 15. (1) Research analyst or rese .....

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..... of research report or research analysis to manipulate the securities market. (2) Research analyst or research entity shall have in place appropriate mechanisms to ensure independence of its resear .....

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