- 9. Acting as the Trustee of a Fund
- 3.2.1. General requirement
- Transaction
- 1.1.13. . Exclusion in respect of non-financial business
- 16. Operating a Representative Office
- 2.1.2. Obligation to notify classification to Clients
- 2.1.3. Person may be classified as more than one category of Client
- 2.5.1. Assessed Professional Clients: Individual Clients
- 2.5.3. Assessment of experience and understanding
- 2.5.5. Individual joint account holders
- 2.8.2. Funds
- 3.2.3. Information to be communicated directly to Client
- 3.3.2. Financial Promotion by a Representative Office
- 3.3.8. Restriction on communicating Financial Promotions
- 3.4.1. Application
- 3.4.4. Exemption for image advertising
- 4.2.3. Where it is impracticable to provide key information or enter into a client agreement
- 5.1.3. Market Counterparties
- 7.4.3. Requirement to disclose inducements
- 15.2.6. Employees handling complaints
- 1.1. Application
- 3.7 Communications
- 9. Acting as the Trustee of a Fund
- 14. Operating a Representative Office