BC Business Conduct
- BC-A Introduction
- BC-B Scope of Application
- BC-C Provision of Financial Services on a Non-discriminatory Basis
- BC-1 Base Requirements
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BC-2 The Investment Business Code of Practice
- BC-2.1 Overarching Principles
- BC-2.2 Client Classification
- BC-2.3 Marketing and Promotion
- BC-2.4 Accepting Clients
- BC-2.5 Suitability
- BC-2.6 Disclosure of Information
- BC-2.7 Dealing and Managing
- BC-2.8 Reporting to Clients
- BC-2.9 [This section was deleted in October 2011]
- BC-2.10 Conflicts of Interest
- BC-2.11 Confidentiality
- BC-2.12 Appendix
- BC-2.13 Brokerage Fees
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BC-3 Customer Complaints Procedures
- BC-3.1 General Requirements
- BC-3.2 Documenting Customer Complaints Handling Procedures
- BC-3.3 Principles for Effective Handling of Complaints
- BC-3.4 Internal Complaint Handling Procedures
- BC-3.5 Response to Complaints
- BC-3.6 Records of Complaints
- BC-3.7 Reporting of Complaints
- BC-3.8 Monitoring and Enforcement