Customer and Investor Protection Rules 2019 (CIPR)

Customer and Investor Protection Rules 2019 (CIPR)
CIPR Chapter 1:
General
CIPR Part 1.1 Preliminary
CIPR Part 1.2 Basic concepts
CIPR Chapter 2:
Principles of fair treatment of customers
CIPR 2.1.1 Application of Chapter 2
CIPR 2.1.2 The principles
CIPR 2.1.3 Consequences for employees who fail to comply
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
CIPR Part 3.3 Customer classification
CIPR Part 3.4 Authorised firms' reliance on others and exclusion or restriction of liability
CIPR Part 3.5 Dealing with conflicts, material interests and inducements
CIPR Part 3.6 Personal account transactions
CIPR Part 3.7 Handling errors
CIPR Part 3.8 Handling complaints and related matters
CIPR Chapter 4:
Obligations of all authorised firms — advertisements, personal contact with customers, and initial disclosure document
CIPR Part 4.1 Preliminary
CIPR Part 4.2 Advertisements — general requirements
CIPR Part 4.3 Personal contact with customers
CIPR Part 4.4 Initial disclosure document
CIPR Chapter 5:
Investment management business and investment mediation business
CIPR Part 5.1 Application and general provisions
CIPR Part 5.2 Investment managers
CIPR Part 5.3 Investment intermediaries (including investment advisers)
CIPR Part 5.4 Packaged investment products — key information document
CIPR Part 5.5 Packaged investment products — other matters
CIPR Chapter 6:
Insurance business and insurance mediation business
CIPR Part 6.1.Application and general provisions
CIPR Part 6.2 General requirements for insurers
CIPR Part 6.3 General requirements for insurance intermediaries
CIPR Part 6.4 Non-investment insurance — retail
CIPR Part 6.5 Non-investment insurance — general matters
CIPR Part 6.6 Cancelling insurance contracts
CIPR Part 6.7 Claims handling
CIPR Part 6.8 Premium rebates
CIPR Chapter 7:
Deposit-taking business
CIPR 7.1.1 Application of Chapter 7
CIPR 7.1.2 Definitions
CIPR 7.1.3 Initial disclosure document — additional requirements
CIPR Chapter 8:
Recordkeeping
CIPR 8.1.1 Application of Chapter 8
CIPR 8.1.2 Obligation to keep records
CIPR 8.1.3 Records that must be kept
CIPR 8.1.4 How long records must be retained
CIPR Schedule 1:
Packaged investment products — key Information document
CIPR S1.1 Opening statement
CIPR S1.2 Headings and information
CIPR Glossary