L..OlLl.I]ll'l l LDIUJIIIJ ll 1. Clients' assets A. Firm must conduct its business with integrity 2. Customers: relationships of trust B. A rm must conduct its business with due skill, care and diligence 3. Conflicts of interest C. A firm must take reasonable care to organize and control its affairs responsibly and effectively, with adequate risk management system 4. Communication with clients D. A firm must maintain adequate financial resources 5. Customers' interesE E. A rm must observe proper standards of market conduct 5. Market conduct F. A firm must pay due regard to the interests of its customers and treat them fairlyl 'I". Financial prudence G. A firm must pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, fair and not misleading 8. Management and control H. A firm must manage conflicts of interest fairly, both between itself and its customers and between a customer and another client 9. Sicill, care and diligence I. A firm must take reasonable care to ensure the suitability of its advice and discretionary decisions for any customer who is entitled to rely upon its judgment 10. Integrity 1A firm must arrange adequate protection for clients' assets when it is responsible for them