The Principles of Business are:

Principle 1 — Integrity

Principle 2 — Conflicts of Interest

Principle 3 — Due Skill, Care and Diligence

Principle 4 — Confidentiality

Principle 5 — Market Conduct

Principle 6 — Customer Assets

Principle 7 — Customer Interests

Principle 8 — Relations with Regulators/Supervisors

Principle 9 — Adequate Resources

Principle 10 — Management, Systems and Controls