Compendium



Report on Retail OTC Leveraged Products

19 September 2018
The guidance identifies and promotes regulatory approaches that can enhance the protection of retail investors in the area of OTC leveraged products offered and sold to retail investors.

Conflicts of interest and associated conduct risks during the equity capital raising process

18 September 2018
Guidance to address the identified risks and the potential harm caused by specific, existing conflicts of interest and associated misconduct which can arise during the equity capital raising process.

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