|
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
|
