Code of Conduct requires brokers to act with integrity, protect investors, disclose conflicts, and avoid market manipulation. The Code requires brokers to maintain integrity, promptitude, fairness and due skill; forbids manipulative or deceptive conduct and excessive speculative activity; mandates compliance with statutory provisions. Brokers must execute client orders at best market price, issue contract notes, protect confidentiality, avoid business driven solely by brokerage, disclose agency status and conflicts, ensure suitability of advice, and disclose interests when giving public investment advice. Underwriting duties include disclosure and management of conflicts, protection of issuer confidentiality, prohibition on insider trading, and prohibitions on false markets and price manipulation.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Code of Conduct requires brokers to act with integrity, protect investors, disclose conflicts, and avoid market manipulation.
The Code requires brokers to maintain integrity, promptitude, fairness and due skill; forbids manipulative or deceptive conduct and excessive speculative activity; mandates compliance with statutory provisions. Brokers must execute client orders at best market price, issue contract notes, protect confidentiality, avoid business driven solely by brokerage, disclose agency status and conflicts, ensure suitability of advice, and disclose interests when giving public investment advice. Underwriting duties include disclosure and management of conflicts, protection of issuer confidentiality, prohibition on insider trading, and prohibitions on false markets and price manipulation.
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