Required agreement before opting-up client r 2.3.2E ins Rules 2015-4 Client agents classification―customers’ r 2.3.3 am RM2008/01; RM2008/02; Rules 2009-2; Rules 20103; Rules 20146 Client classification—recordkeeping r 2.3.5 am Rules 2015-4 Excluding or restricting liability r.2.4.3 sub Rules 2012-5 Conflicts and material and managing interests―identifying r 2.5.1 am RM2008/01 Conflicts and material to act or disclose and notify interests―decline r 2.5.2 am Rules 2010-3; Rules 2014-6 Soft dollar agreements exemption etc―inducement r 2.5.7 am Rules 2010-3 Soft dollar agreements disclosure etc―prior r 2.5.8 am Rules 2010-3; Rules 2012-5 Soft dollar agreements disclosure etc―prior r 2.5.9 am Rules 2010-3 Customer complaints—internal procedures r 2.6.1 am Rules 2015-4 Customer complaints—service standards for retail customers r 2.6.3 am Rules 2015-4 Customer complaints—referring complaints to other firms r.2.6.4 am Rules 2012-5 Cooperation with staff of the customer dispute resolution scheme r 2.6.6 am RM2008/01 om Rules 2015-4 Restitution orders for contravention of relevant requirements r 2.7.1 am Rules 2014-6 Application—ch 3 r 3.1.1 am Rules 2014-6 Financial promotions—making and approving r 3.2.2 am Rules 2014-6 Retail financial performance promotions―past r 3.3.3 am Rules 2009-2 Cold calls—general rule r 3.3.8 am Rules 2014-6 Application—ch 4 r 4.1.1 am Rules 2010-7; Rules 2012-5; Rules 2014-6
Required agreement before opting-up client r 2.3.2E ins Rules 2015-4 Client classification―customers’ agents r 2.3.3 am RM2008/01; RM2008/02; Rules 2009-2; Rules 20103; Rules 20146 Client classification—recordkeeping r 2.3.5 am Rules 2015-4 Excluding or restricting liability r.2.4.3 sub Rules 2012-5 Conflicts and material interests―identifying and managing r 2.5.1 am RM2008/01 Conflicts and material interests―decline to act or disclose and notify r 2.5.2 am Rules 2010-3; Rules 2014-6 Soft dollar agreements etc―inducement exemption r 2.5.7 am Rules 2010-3 Soft dollar agreements etc―prior disclosure r 2.5.8 am Rules 2010-3; Rules 2012-5 Soft dollar agreements etc―prior disclosure r 2.5.9 am Rules 2010-3 Customer complaints—internal procedures r 2.6.1 am Rules 2015-4 Customer complaints—service standards for retail customers r 2.6.3 am Rules 2015-4 Customer complaints—referring complaints to other firms r.2.6.4 am Rules 2012-5 Cooperation with staff of the customer dispute resolution scheme r 2.6.6 am RM2008/01 om Rules 2015-4 Restitution orders for contravention of relevant requirements r 2.7.1 am Rules 2014-6 Application—ch 3 r 3.1.1 am Rules 2014-6 Financial promotions—making and approving r 3.2.2 am Rules 2014-6 Retail financial promotions―past performance r 3.3.3 am Rules 2009-2 Cold calls—general rule r 3.3.8 am Rules 2014-6 Application—ch 4 r 4.1.1 am Rules 2010-7; Rules 2012-5; Rules 2014-6
QFCRA_5584_VER12.docx