BC-2.1.1
Past version: Effective from 18 Jul 2025 to 30 Jun 2007
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In the course of
(a) act with due skill, care and diligence in all dealings with clients ;
(b) act fairly and reasonably in all dealings with clients ;
(c) identify clients' specific requirements in relation to the products and services about which they are enquiring;
(d) ensure that any advice to clients is aimed at the clients' interests and based on adequate standards of research and analysis;
(e) provide sufficient information to enable clients to make informed decisions when purchasing investment products and services offered to them;
(f) provide sufficient and timely documentation to clients 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 clients through the lifetime of the client relationships, and ensure that clients are kept informed of important events;
(h) ensure complaints from clients are dealt with fairly and promptly;
(i) ensure that all information provided to clients is clear, fair and not misleading, and appropriate to clients' information needs; and
(j) take appropriate measures to safeguard any money and property handled on behalf of clients and maintain confidentiality of client information.