Business - Conduct Issues

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  • Created by: jutnut
  • Created on: 20-08-18 16:25

Conduct

 

Principle 4

 

Conflict of Interests

Client conflict

If there is a conflict, or a significant risk of a conflict, between two or more current clients, you must not act for all or both of them unless the matter falls within the scope of the limited exceptions set out at Outcomes O(3.6) and O(3.7). 

In deciding whether to act in these limited circumstances, the overriding consideration will be the best interests of each of the clients concerned and, in particular, whether the benefits to the clients of you acting for all or both of them outweigh the risks.

O(3.4) you do not act if there is an own interest conflict or a significant risk of an own interest conflict;

 

O(3.5) you do not act

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