ES-1.9.2
Past version: Effective from 18 Jul 2025 to 30 Jun 2007
To view other versions open the versions tab on the right
The Investment Business Code of Practice covers various matters, relevant to contact throughout a customer relationship. They are:
(a) overarching principles;
(b) client classification;
(c) marketing and promotion;
(d) accepting clients;
(e) suitability;
(f) disclosure of information;
(g) dealing and managing;
(h) reporting to clients;
(i) complaints;
(j) conflicts of interest;
(k) confidentiality; and
(l) an appendix, covering various specific matters to be addressed in promotional material, transaction confirmations and the like.