COB 6.3.2

An Authorised Firm that prepares and publishes Investment Research must have adequate procedures and controls to ensure:

(a) the effective supervision and management of Investment Analysts;
(b) that the actual or potential conflicts of interest are proactively managed in accordance with COB section 3.5 ;
(c) that the Investment Research issued to Clients is impartial; and
(d) that the Investment Research contains the disclosures described under Rules COB 6.3.3 and COB 6.3.4.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]