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Thomas Weisel Partners LLC has adopted the following investor protection principles:
- Sever the link between compensation for analysts and investment banking;
- Prohibit investment banking input into analysts' compensation;
- Create a review committee to approve all research recommendations;
- Establish a monitoring process to ensure compliance with these Investor Protection Principles;
- Require that, upon discontinuation of research coverage of a company, firms will disclose the termination and the rationale for such termination;
- Disclose in research reports whether the firm has received or is entitled to receive any compensation from a covered company over the past 12 months.
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