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Client Investment

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7.8. Best execution and fair allocation
4.2.8. Principle 8 ‐ Conflicts of interest
4.2.10. Principle 10 ‐ Client assets and money
7.3.1 Clients of an Authorised Crowdfunding Platform
7.3.4 Information about the service and lender or Investor education tools
11.7.2. Confirmation of cover
11.7.3. Amendments
11.7.4. Advance notification
11.7.5. Documentation on expiry or cancellation
11.7.6. Claims—general requirements
12.1. Application
12.11. Fitness and Propriety of Persons acting as trustees
12.7. Use of third parties
13.2.8. Principle 8 ‐ Client Money and Client Assets
16.3. Internal Audit of Client Statements
Mandate
Segregated Client
3.1.1. General requirement
3.1.2. Territorial scope
3.2.1. General requirement
3.2.2. No avoidance of regulatory liability
1.2.1. Modifications and exclusions stated in a COB rule
5.6.3. Management of conflicts of interest
5.6.4. Disclosure of conflicts of interest
5.6.1. Identification of conflicts of interest
5.6.2. Factors relevant to the existence of a conflict of interest in the provision of a service
6.2.5. Suspected Market Abuse
5.2.7. Professional Clients
5.2.8. Firms providing trust services
1.2.2. Exclusions in relation to certain categories of Centre Participant
1.2.3. Application in respect of Insurance Intermediaries
1.2.4. Application in respect of Trust Service Providers
2.1.1. Obligation to classify Clients
2.1.2. Obligation to notify classification to Clients
2.1.3. Person may be classified as more than one category of Client
2.2.1. Classification as a Retail Client
2.5.1. Assessed Professional Clients: Individual Clients
2.5.2. Calculation of an individual's net assets
2.5.8. Client no longer meeting the requirements to be a Professional Client
2.6.3. Professional Client that asks to be treated as a Retail Client
2.10.1. Requirement to keep records
2.8.1. Trusts
2.10.3. Date on which the business relationship ended
2.8.2. Funds
2.9.1. General application of the "agent as client" rule
2.10.2. Length of recordkeeping requirement
2.9.2. Exclusion from the "agent as client" rule
3.2.3. Information to be communicated directly to Client
3.3.6. Financial Promotions included in other communications
3.4.1. Application
3.4.5. Restriction on Unsolicited Real Time Financial Promotions
3.4.7. Procedure for Unsolicited Real Time Financial Promotions
3.5.2. Content of records
4.1. Application
4.2.3. Where it is impracticable to provide key information or enter into a client agreement
4.2.4. Records of explanation to the Client
4.3. Content of client agreement
4.4. Content of key information
4.5. Record keeping
5.2.5. Knowledge and experience
5.1.2. Application of requirement to assess appropriateness
5.2.1. Requirement to assess suitability
5.2.2. Nature of suitability assessment
5.2.3. Investment objectives
5.2.4. Financial situation
5.2.9. Suitability reports
5.3.1. Requirement to assess appropriateness
5.3.2. Exemption from requirement to assess appropriateness
6.1.4. Specific instructions
5.3.4. Nature of appropriateness assessment
6.1.2. Best execution obligation
5.3.5. Client's knowledge and experience
5.3.7. Warning the Client
5.4. Information about the Client
5.5. Record keeping
5.6.2. Product disclosure document—provision requirement
5.6.3. Product disclosure document—form
6.2.2. General requirement
5.6.8. Life policies or Family Takaful Contract —projection calculation rules
5.6.9. Life policies or Family Takaful Contracts —provision of policy document
5.6.10. Life policies or Family Takaful Contracts —recordkeeping
5.6.11. Takaful Contracts – Specific Disclosure requirements
6.1.1. Application
6.2.3. General obligation in relation to orders for a Client
6.2.4. Aggregation of orders
6.2.5. Allocation of Investments
6.2.6. Churning
6.2.7. Timely execution
6.2.8. Averaging of prices
6.2.9. Records of orders and transactions
6.3.1. General requirement
6.3.2. Notification to Clients
6.4. Direct Electronic Access
7.1. The general obligation
7.2. Identifying a conflict of interest
7.3. Managing a conflict of interest
7.4.2. Introductions
8.1.2. Application of COB 8
7.4.3. Requirement to disclose inducements
8.1.1. Purpose of COB 8
8.1.3. Meaning of "hold" and "control"
8.1.4. General requirements
8.2.1. Meaning of "Client Money"
8.2.2. Exclusion of the Client Money Rules
8.2.6. Client Money held for Segregated Clients in a Client Money Account
8.2.4. Client Money Accounts
8.2.7. Client Money Account to contain Client Money only
8.2.8. Exceptions to Holding Client Money in Client Money Accounts
8.2.9. Conditions for use of Third Party Account Providers
8.2.10. Holding Client Money with Third Party Account Providers
8.2.13. Payments of Client Money from Client Money Accounts
8.2.14. Client Money arising from Client Investments
8.2.15. Distribution Event
8.2.16. Client Money Distribution Rules (Investment Business)
8.2.17. Procedures relating to Client Money Accounts
8.2.18. Client disclosures
8.2.19. Client reporting
8.2.21. Reconciliations
8.2.22. Nature of reconciliation
8.3.15. Record keeping
8.2.23. Requirements for reconciliation
8.2.24. Review of reconciliation
8.3.1. Meaning of Client Investments
8.3.2. Exceptions to the Client Investments Rules
8.3. Client Investments Rules
8.3.3. Safeguarding Client Investments
8.3.4. Client Investment Accounts
8.3.5. Registration and recording of Client Investments
8.3.6. Registration and recording of Client Investments
8.3.7. Holding Client Investments with Third Party Account Providers
8.3.8. Due diligence on Third Party Account Providers
8.3.9. Entering into written agreements with Third Party Account Providers
8.3.10. Contents of agreements with Third Party Account Providers
8.3.11. Use of Client Investments for the purposes of the Authorised Firm or another Person
8.3.12. Procedures relating to Client Investment Accounts
8.3.13. Client disclosure
8.3.16. Reconciliations
8.3.17. Review of reconciliation
8.4. Mandates
8.5.1. Application
8.5.6. Duty to segregate Client Money
8.5.2. Meaning of “Segregated Client”
8.5.7. Money due to a Client from an Insurance Intermediary or Insurance Manager
8.5.4. Client Money
8.5.5. Holding money as agent of an insurer
8.5.8. Use of a Client Money Account
8.5.9. Client Money Account
8.5.12. Untraceable clients
8.5.15. Client Money Distribution Rules (Insurance Intermediation and Insurance Management)
8.5.16. Client reporting
9.1.1. Application
9.1.2. Providing trade confirmations
9.1.5. Record keeping
9.2.1. Requirement to provide periodic statements
9.2.2. Record keeping
10.8.1. General requirement
10.8.2. Disclosure
11.5.2. Ensuring suitability based on demands and needs
11.5.3. Written confirmation of instructions
11.2.1. General disclosure obligation
11.3.1. Disclosure of costs
11.3.2. Disclosure of new costs
11.6.1. Adequate information
11.3.3. Disclosure of commissions and other benefits
11.4. Obligation on Client to disclose material facts
11.5.1. Providing a statement of demands and needs
15.2.2. Procedures available on request
18.3. Terms of business for Accepting Deposits — general requirements
18.4. Terms of business for Accepting Deposits — contract
18.5. Terms of business for Accepting Deposits — multiple documents
18.6. Terms of business for Accepting Deposits — amendment
18.7. Terms of business for Accepting Deposits — recordkeeping
18.8. Terms of business for Accepting Deposits — minimum content
19.2.2. Variations of Life Policies—right to cancel
19.2.3. Life policies—when cancellation right can be exercised
19.2.4. Life policies—exercising cancellation right
19.2.5. Life policies—consequences of cancellation
19.3.1. Non-Investment Insurance Contracts —right to cancel
19.3.3. Non-Investment Insurance Contracts—exercising cancellation right
19.3.4. Non-Investment Insurance Contracts—consequences of cancellation
19.5.1. Claims handling—general requirements
20.2.2. Meaning of Client
20.3.1. General disclosure obligation
20.3.2. Disclosure of costs
20.3.3. Disclosure of new costs
20.3.4. Disclosure of commissions and other benefits
20.4.1. Claims handling—general requirements
SCHEDULE 2: KEY INFORMATION AND CONTENT OF CLIENT AGREEMENT
5.3. Independence of SSB
5.3. Independence of SSB
Annex B – Client Investments Auditor's Report
Savings Account
2.6. Waivers, conditions, restrictions
1.1. A FinTech Lab Participant (the participant) must meet the following minimum requirements before commencing business with Clients:
2.3.
Client Money
Collateral
Contingent Liability Transaction
Current Account
Distribution Event
Investment Crowdfunding Platform
Market Counterparty
Market Counterparty Business
Nominee Company
Professional Client
Retail Client

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