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MIR-4.7.24

Before the member undertakes any regulated activities or services mentioned under paragraph MIR-1.1.2 they must notify the client as to the appropriate terms and conditions which apply to each service or arrangement and sign the prescribed agreement(s). The agreement must cover, at a minimum, the following matters, wherever applicable:

1. Representations and warranties by the client;
2. Acknowledgements by the client;
3. Clients' orders and instructions;
4. Settlement and clearing services;
5. Commission and charges;
6. Information and advice;
7. Undertaking of the client;
8. Members responsibilities;
9. The right to object to withdrawal or transfer of securities;
10. Correspondence and confirmation;
11. Terms and termination;
12. Joint liability;
13. Force Majeure;
14. Severability;
15. Notices: client; member;
16. Amendment of the agreement; and
17. Law and jurisdiction.
Adopted January 2010