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  • HC-2.6 HC-2.6 Corporate Ethics [Version from 1 October 2010 to 31 March 2016]

    • HC-2.6.1 [Version from 1 October 2010 to 31 March 2016]

      A licensee's Board must establish and disseminate to all employees of the licensee a corporate code of conduct.

      October 2010

    • HC-2.6.2 [Version from 1 October 2010 to 31 March 2016]

      The code of conduct must establish standards by giving examples or expectations as regards:

      (a) Honesty;
      (b) Integrity;
      (c) The avoidance or disclosure of conflicts of interest;
      (d) Maintaining confidentiality;
      (e) Professionalism;
      (f) Commitment to the law and best practises; and
      (g) Reliability.
      October 2010

    • HC-2.6.3 [Version from 1 October 2010 to 31 March 2016]

      The Board must ensure that policies and procedures are in place to ensure that necessary customer confidentiality is maintained.

      October 2010