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  • ES-1.9 ES-1.9 Module BC (Business Conduct)

    • ES-1.9.1

      This Module set out minimum standards of good practice to be applied by investment firm licensees, when dealing with their clients. These comprise certain base requirements, supplemented by more detailed requirements in the form of an Investment Business Code of Practice.

      Amended: January 2007

    • ES-1.9.2

      The Investment Business Code of Practice covers various matters, relevant to contact throughout a client relationship. They are:

      (a) Overarching principles;
      (b) Client classification;
      (c) Marketing and promotion;
      (d) Accepting clients;
      (e) Suitability;
      (f) Disclosure of information;
      (g) Dealing and managing;
      (h) Reporting to clients;
      (i) Complaints;
      (j) Conflicts of interest;
      (k) Confidentiality; and
      (l) An appendix, covering various specific matters to be addressed in promotional material, transaction confirmations and the like.
      Amended: January 2007

    • ES-1.9.3

      These requirements may be modified or supplemented over time, in response to evolving market practices or as issues arise.