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Topic 5: Business conduct and client relations (3Licensed or registered…
Topic 5: Business conduct and client relations
1The Code of Conduct
nine general principles
honesty
fairness,
diligence,
capabilities,
information about clients and for clients,
conflicts of interest,
compliance,
client assets
the responsibility of senior management
2 others
Representations, information, invitations and advertisements should be accurate and not
misleading, false or deceptive.
陳 述 、 資 料 、 邀 請 及 廣 告 應 準 確 及 不 得 載 有 具 誤 導 成 份 、 虛 假 或 欺 騙 性 的 資 料
3Licensed or registered persons
Licensed or registered persons should not receive advantages such as money, gifts, employment, services, favours and so on which would interfere with or prejudice their behaviour towards their clients, their employers (in the case of representatives) or be contrary to applicable ethical standards.持 牌 人 或 註 冊 人 不 應 收 受 金 錢 、 餽 贈 、 僱 傭 、 服 務 、 優 待 等 利 益 ， 這 些 利 益 會 干
預 或 妨 礙 其 對 客 戶 或 僱 主 （ 如 為 代 表 ） 的 行 為 或 違 背 適 用 的 道 德 標 準 。
Licensed or registered persons should take reasonable steps to execute client orders promptly in accordance with clients’ instructions and on the best available terms.持 牌 人 或 註 冊 人 應 採 取 合 理 步 驟 ， 盡 快 地 依 照 客 戶 的 指 示 及 基 於 其 所 能 取 得 的 最佳 條 件 執 行 客 戶 的 交 易 指 示 。
Executed client orders
in accordance with clients’ instructions and on the best available terms
Executed client orders should be promptly and fairly allocated to the clients
established and recorded
The true identity of clients, their financial position, investment experience and investment
objectives
Representations, information, invitations and advertisements should be accurate and not
misleading, false or deceptive.訊息必須真實
Executed client orders should be promptly and fairly allocated to the clients.接到客戶的訂單時應該公平的分給所有客人
A written client agreement should be entered into with a client before a licensed or registered person provides services to the client. 向 客 戶 提 供 任 何 服 務 前 ， 與 客 戶 訂 立 客 戶 協 議
The authority for a discretionary account must be in writing and should specify the person who is authorised to operate the account, stating that the person is an employee or agent of the licensed or registered person, if the authority is granted to such person. 委 託 帳 戶 的 授 權 書 須 以 書 面 形 式,並且說明這個授權的牌照持有人是誰