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C4-3.2.1

Category 4 investment firms must provide (with respect to regulated investment services), comprehensible information to clients or potential clients on:

(a) Itself and the types of services that it can provide;
(b) Fees, costs and associated charges such as:
(i) The basis or amount of its charges, remuneration and commission for conducting regulated investment services; and
(ii) The nature or amount of any other income receivable by it or, to its knowledge, by its associate and attributable to that regulated investment service;
(c) Proposed CIU structures, investments and strategies and appropriate guidance on and warnings of the risks associated with those investments and strategies; and
(d) Information about methods of redress.
Added: January 2022