BC-2.1 BC-2.1 Overarching Principles
BC-2.1.1
In the course of
regulated investment services ,licensees must:(a) Act with due skill, care and diligence in all dealings withclients ;(b) Act fairly and reasonably in all dealings withclients ;(c) Identifyclients' specific requirements in relation to the products and services about which they are enquiring;(d) Ensure that any advice toclients is aimed at theclients' interests and based on adequate standards of research and analysis;(e) Provide sufficient information to enableclients to make informed decisions when purchasing investment products and services offered to them;(f) Provide sufficient and timely documentation toclients to confirm that their investment arrangements are in place and provide all necessary information about their products, rights and responsibilities;(g) Maintain fair treatment ofclients through the lifetime of theclient relationships, and ensure thatclients are kept informed of important events;(h) Ensure complaints fromclients are dealt with fairly and promptly;(i) Ensure that all information provided toclients is clear, fair and not misleading, and appropriate toclients' information needs; and(j) Take appropriate measures to safeguard any money and property handled on behalf ofclients and maintain confidentiality ofclient information.Amended: January 2007
