BC-9.3.1
Past version: Effective from 01 Jan 2011 to 30 Jun 2015
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In the course of offering
(a) Act with due skill, care and diligence in all dealings with customers ;
(b) Act fairly and reasonably in all dealings with customers ;
(c) Identify customers' specific requirements in relation to the products and services about which they are enquiring;
(d) Ensure that any advice to customers is aimed at the customers' interests and based on adequate standards of research and analysis;
(e) Provide sufficient information to enable customers to make informed decisions when purchasing investment products and services offered to them;
(f) Provide sufficient and timely documentation to customers to confirm that their investment arrangements are in place and provide all necessary information about their products, rights and responsibilities;
(g) Maintain fair treatment of customers through the lifetime of the customer relationships, and ensure that customers are kept informed of important events;
(h) Ensure complaints from customers are dealt with fairly and promptly;
(i) Ensure that all information provided to customers is clear, fair and not misleading, and appropriate to customers' information needs; and
(j) Take appropriate measures to safeguard any money and property handled on behalf of customers and maintain confidentiality of customer information.
Amended: January 2011
Added: April 2008
Added: April 2008