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          Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.

          Provisions expressly mentioned in the judgment/order text.

          <h1>Client level segregation: research analysts barred from providing distribution services to the same client to manage conflicts of interest.</h1> Regulation 26C requires that an individual research analyst (and their family) must not provide distribution services to the same client receiving research, and that non-individual research analysts or entities must implement client level segregation at the group level so a client receives either research or distribution services but not both; group-level arrangements must preserve an arm's length relationship via a separately identifiable research department, with compliance and monitoring to follow Board guidelines.

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