Part 7 Operating Conditions for Investment Firms (regs. 72-111)

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Revoked	Regulation 72 Review of conditions for initial authorisation
Revoked	Regulation 73 General obligation in respect of on-going supervision
Revoked	Regulation 74 Conflicts of Interest
Revoked	Regulation 75 Conflicts of interest continued
Revoked	Regulation 76 Conduct of business obligations when providing investment services to clients
Revoked	Regulation 77 Provision of certain types of information by investment firms to clients
Revoked	Regulation 78 Certain conduct not regarded as in client's best interest
Revoked	Regulation 79 Bank may impose additional requirements in exceptional cases
Revoked	Regulation 80 Information for clients and potential clients
Revoked	Regulation 81 Information for retail clients, professional clients and eligible counterparties
Revoked	Regulation 82 Providing certain general information for clients
Revoked	Regulation 83 Portfolio management
Revoked	Regulation 84 Information about nature and risks of financial instruments
Revoked	Regulation 85 Information about financial instrument subject to public offering
Revoked	Regulation 86 Information about financial instrument subject to public offering
Revoked	Regulation 87 Information about financial instrument with guarantee by third party
Revoked	Regulation 88 Information about financial instrument belonging to retail clients
Revoked	Regulation 89 Accounts subject to another jurisdiction
Revoked	Regulation 90 Accounts subject to investment firm security interest
Revoked	Regulation 91 When investment firm enters into certain security financing transactions
Revoked	Regulation 92 Information on costs and charges
Revoked	Regulation 93 Collective investment undertakings
Revoked	Regulation 94 Assessment of suitability and appropriateness
Revoked	Regulation 95 Non-complex instruments
Revoked	Regulation 96 Reporting to clients
Revoked	Regulation 97 Best execution
Revoked	Regulation 98 Investment firm to act in clients' best interests
Revoked	Regulation 99 Conduct of business obligations in more limited circumstances
Revoked	Regulation 100 Duty of investment firm to record rights and obligations
Revoked	Regulation 101 Duty of investment firm to report to clients about transactions, services and costs
Revoked	Regulation 102 Regulations 76 to 101 inapplicable to specific financial products otherwise regulated
Revoked	Regulation 103 Provision of services though the medium of another firm
Revoked	Regulation 104 Critical and important operational functions
Revoked	Regulation 105 Investment firm's responsibilities respecting outsourcing to service provider
Revoked	Regulation 106 Obligation to execute orders on terms most favourable to the client
Revoked	Regulation 107 Client order handling by investment firms
Revoked	Regulation 108 Client order handling rules
Revoked	Regulation 109 Obligations of investment firms when appointing tied agents
Revoked	Regulation 110 Public registry of tied agents to be maintained by Bank
Revoked	Regulation 111 Transactions executed with eligible counterparties

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Part 7 Operating Conditions for Investment Firms (regs. 72-111)

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