(1) When providing investment services or, where appropriate, ancillary services to its clients, an investment firm shall -
(a) act honestly, fairly and professionally in accordance with the best interests of its clients, and
(b) comply with the principles set out in paragraphs (2) to (6) of this Regulation and in Regulation 98.
(2) Without limiting its obligations under paragraph (1) (a), an investment firm shall ensure that -
(a) ensure that all information, including but not limited to marketing communications, addressed by an investment firm to clients or potential clients is fair, clear and not misleading,
(b) marketing communications are clearly identifiable as such, and
(c) appropriate information is provided in a comprehensible form to clients or potential clients about -
(i) the investment firm and its services,
(ii) financial instruments and proposed investment strategies including but not limited to appropriate guidance on and warnings of the risks associated with inves