Securities (Conduct of Business) Regulations (Statutory Instrument 104/2001)
Statutory Instrument 104/2001 .. in force 20 October 2001
ARRANGEMENT OF REGULATIONS
PART 1
PRELIMINARY
| 1. | Citation and application |
| 2. | Interpretation |
| 3. | Contravention |
PART 2
CONDUCT OF BUSINESS
| 4. | Independence |
| 5. | Material interest |
| 6. | Inducement |
| 7. | Fair and clear communication |
| 8. | Customer understanding of risk |
| 9. | Information about the licensee |
| 10. | Representatives of licensee |
| 11. | Where customer agreement required |
| 12. | Customer rights |
| 13. | Suitability |
| 14. | Charges |
| 15. | Confirmation and periodic information |
| 16. | Customer order priority |
| 17. | Timely execution |
| 18. | Best execution |
| 19. | Timely allocation |
| 20. | Fair allocation |
| 21. | Front running |
| 22. | Excessive transactions |
| 23. | Insider dealing |
| 24. | Safeguarding of customer investments |
| 25. | Complaints |
| 26. | Compliance |
| 27. | Supervision |
| 28. | Customer confidentiality |
| 29. | Cold calling |
| 30. | Cessation of business |
PART 3
CUSTOMER MONEY
| 31. | Application |
| 32. | Customer money |
| 33. | Customer bank accounts |
| 34. | Accounting for and use of customer money |
| 35. | Payment out of a customer bank account |
PART 4
AUDITORS
| 36. | Engagement letters |
| 37. | Powers and duties of auditors |
| 38. | Notification to Commission |
| 39. | Resignation or removal of auditors |
Commencement [20 October 2001]