CIPR Chapter 3 General obligations of all authorised firms
- CIPR Part 3.1 Preliminary
- CIPR Part 3.2 Applying principles of fair treatment of customers
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CIPR Part 3.3 Customer classification
- CIPR 3.3.1 Customer classification — general obligation
- CIPR 3.3.2 Customer classification — opting-up
- CIPR 3.3.3 Determination of customers' net assets
- CIPR 3.3.4 Assessing customers' relevant knowledge, experience and understanding
- CIPR 3.3.5 Agreement required before opting-up customer
- CIPR 3.3.6 Customer classification — systems and controls
- CIPR Part 3.4 Authorised firms' reliance on others and exclusion or restriction of liability
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CIPR Part 3.5 Dealing with conflicts, material interests and inducements
- CIPR 3.5.1 Meaning of material interest
- CIPR 3.5.2 Conflicts of interest and material interests — policy
- CIPR 3.5.3 Conflicts of interest and material interests — management
- CIPR 3.5.4 Conflicts of interest and material interests — "decline to act" or "disclose and notify"
- CIPR 3.5.5 Chinese walls
- CIPR 3.5.6 Contingent selling and bundling
- CIPR 3.5.7 Inducements generally
- CIPR 3.5.8 Inducements — packaged investment products
- CIPR 3.5.9 Inducements — financial assistance by product providers
- CIPR 3.5.10 Soft commission agreements
- CIPR 3.5.11 When may firms advise customers to replace products?
- CIPR 3.5.12 Firms' obligations in relation to trail commissions
- CIPR Part 3.6 Personal account transactions
- CIPR Part 3.7 Handling errors
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CIPR Part 3.8 Handling complaints and related matters
- CIPR 3.8.1 Who can make a complaint?
- CIPR 3.8.2 Firms' internal complaints-handling procedures
- CIPR 3.8.3 Customer redress
- CIPR 3.8.4 Referring complaints to other firms
- CIPR 3.8.5 Service standards
- CIPR 3.8.6 Analysis of complaints for systemic weaknesses
- CIPR 3.8.7 Quarterly reporting about complaints
- CIPR 3.8.8 Restitution orders for contravention of relevant requirements