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  • PB-1 PB-1 Principles

    • PB-1.1 PB-1.1 Integrity

      • PB-1.1.1

        All relevant persons should be straightforward and honest in their services and conduct. Integrity is not just limited to honesty but also includes fair dealing and full disclosure of all relevant information.

    • PB-1.2 PB-1.2 Objectivity

      • PB-1.2.1

        All relevant persons should be fair and should not allow prejudice, bias, conflict of interest or influence to override their objectivity.

    • PB-1.3 PB-1.3 Competence, skill care and due diligence

      • PB-1.3.1

        All relevant persons should perform services with competence, due care and diligence and have a continuing duty to maintain professional knowledge and skill at a level required to ensure that a client or employer receives the advantage of competent professional services based on up-to-date developments in practice, legislation and techniques.

    • PB-1.4 PB-1.4 Confidentiality

      • PB-1.4.1

        All relevant persons should treat client information with the strictest of confidentiality unless disclosure is warranted under specific authority or there is a legal or professional duty to disclose.

    • PB-1.5 PB-1.5 Management and control

      • PB-1.5.1

        The Board and management must take reasonable care to organise and control the affairs of the licensee responsibly and effectively with adequate risk management systems.

    • PB-1.6 PB-1.6 Market conduct

      • PB-1.6.1

        All relevant persons should observe proper standards of market conduct.

    • PB-1.7 PB-1.7 Communications with client

      • PB-1.7.1

        All relevant persons must pay due regard to the information needs of their clients and communicate information to them in a manner which is clear, fair and not misleading.

    • PB-1.8 PB-1.8 Relationship of trust

      • PB-1.8.1

        All relevant persons must take reasonable care to ensure the suitability of their advice and discretionary decisions for any customer who is entitled to rely upon their judgment.