Contents
| SECTION | |
| PART I. | GENERAL |
1 |
Regulatory overview |
2 |
About the Manual |
3 |
Partners & Staff |
4 |
Ethical requirements |
PART II |
CONDUCT OF INVESTMENT BUSINESS |
5 |
Private Clients |
6 |
Corporate Finance |
APPENDICES |
|
1 |
Investment Intermediaries Act 1995 – ICAI Authorisation Categories |
2 |
Statement of independence, confidentiality and “fit & proper” status |
3 |
Model agreement with Authorised Third Party (ATP) |
4 |
A - Engagement letter for investment business services only (private client) |
| B - Engagement letter – investment advice integral to general professional services | |
| C - Engagement letter for execution-only services (private client) | |
| D - Engagement letter – private client referred to Authorised Third Party (ATP) | |
| E - Corporate Finance engagement letter – procedure | |
| F - Corporate Finance engagement letter - notice of treatment as “non-private investor” | |
5 |
“Know Your Client” Form |
6 |
Investment Business – Advice Form |
7 |
Investment Business – Transaction Form |
8 |
Sample “Reason Why” letters |
9 |
General risk warnings - examples |
10 |
Commission disclosure letter |
11 |
Bank Confirmation of Trust Status – IBCM Account |
12 |
Register of Authorised Individuals |
13 |
ICAI Investment Business Regulations – Chapter 5, Schedules 1 & 2 Guidance on Corporate Finance Activities |
14 |
Investment Business File Checklist |
15 |
Glossary – ICAI Investment Business Regulations |
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