BC-2.10.2
Where conflicts arise,
(a) Disclose any material interest or conflict of interest to the client in writing (which may include a disclosure in the investment firm licensee's terms of business) either generally or in relation to a specific transaction, and take reasonable steps to ensure that the client does not object;
(b) Establish information barriers between activities such as proprietary trading and portfolio management; and
(c) Produce a written policy of independence, which requires an employee to disregard any conflict of interest or material interest when advising a client or exercising discretion.
Amended: July 2015
Amended: January 2007
Amended: January 2007