BC-2.10.2
Past version: Effective from 01 Jul 2007 to 30 Jun 2015
To view other versions open the versions tab on the right
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, portfolio management and corporate finance business; 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: January 2007