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  • Client Categories

    • BC-B.1.2

      This Module provides for three categories of clients, and applies different levels of protection to each, depending on their level of sophistication.

    • BC-B.1.3

      The scope of application of this Module with regards to client categories is as follows:

      Section Subject Matter Client Category
      BC-2.1 Overarching Principles All categories.
      BC-2.2 Client Classification All categories.
      BC-2.3 Marketing and Promotion All categories; BC-2.3.18 applies to retail clients only.
      BC-2.4 Accepting Clients Retail clients only.
      BC-2.5 Suitability Retail clients only.
      BC-2.6 Disclosure of Information All categories; BC-2.6.5 to BC-2.6.12 apply to retail clients only.
      BC-2.7 Dealing and Managing All categories; various Rules apply to retail clients only.
      BC-2.8 Reporting to Clients All categories.
      BC-2.9 Complaints [Deleted in October 2011]
      BC-2.10 Conflicts of Interest All categories.
      BC-2.11 Confidentiality All categories.
      BC-2.12 Appendix All categories; various Paragraphs apply to retail clients only.
      BC-3 Customer Complaints Procedures All categories
      Amended: October 2011