C4-3.1.1
(a) Act with due skill, care and diligence in all dealings with clients ;
(b) Provide services without any discrimination based on gender, nationality, origin, language, faith, religion, physical ability or social standing;
(c) Act fairly and reasonably in all dealings with clients ;
(d) Identify clients ’ specific requirements in relation to the products and services about which they are enquiring and take adequate measures to avoid mis-selling and mis-representation;
(e) Ensure that any advice to clients is aimed at the clients’ interests and based on adequate standards of research and analysis;
(f) Provide sufficient information to enable clients to make informed decisions when purchasing investment products and services offered to them;
(g) 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;
(h) Maintain fair treatment of clients through the lifetime of the client relationships, and ensure that clients are kept informed of important events;
(i) Ensure complaints from clients are dealt with fairly and promptly;
(j) Ensure that all information provided to clients is clear, fair and not misleading, and appropriate to clients ’ information needs; and
(k) Take appropriate measures to safeguard any money and property handled on behalf of clients and maintain confidentiality of client information.
Added: January 2022