3110. Responsibility to identify conflicts of interest

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    1. A Dealer Member and, where applicable, Approved Person shall take reasonable steps to identify existing and potential material conflicts of interest between the interests of the Dealer Member or Approved Person and the interests of the client.
    2. Where an Approved Person becomes aware of an existing or potential material conflict of interest, the existing or potential conflict shall be reported immediately to the Dealer Member.  

    There is no history log for this rule.

    There is no history log for this rule.