Subject Title - INSETA

7. When a provider (including a representative) renders a financialservice, the provider must disclose to the client:a) the existence of any circumstance which gives rise to anactual or potential conflict of interest in relation to the serviceb) his experience and qualificationsc) the existence of any personal interest in the relevant serviced) a) and c)8. The two main requirements of giving advice are:a) ensuring the client trusts you.b) establishing suitabilityc) keeping a record of adviced) b) and c)9. The advertising principles in the General Code include the following:a) Performance Data must include references to their sourceand dateb) Illustrations, forecasts or hypothetical data must showdependence on performance of underlying assets or variablemarket forces, where applicablec) A warning statement about risks involved in buying or sellinga financial product, must clearly be identified as a warningstatementd) All of the above10. When a client wants to terminate an agreement, a provider:a) may, after referring it to the compliance officer, allow arequest from a client for voluntary termination of anagreementb) must request reasons from a client for voluntary terminationof an agreementc) must, with immediate effect, allow a request from a client forvoluntary termination of an agreementd) is under no obligation to consider such a request© INSETA - Section 1 12a 169