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]