BC-2.1.1
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.
Amended: January 2007