Further Guidance and Practice Notes
Below is a collection of guidance and practice notes, put together to cover many of the common questions and issues that arise during the inspection process. Should you have a query relating to a topic not covered on this or other Financial Compliance pages, please contact a member of the team on 0131 476 8177.
Business Toolkit
Cheques to be held Undelivered
Client Accounts – Terms of Business
Client Communication Practice Rules Guidance
Client Credit Balances Guidance
Commission Arrangements – Designated Client Accounts
Conflict of Interest
Destruction of Files
Electronic Transfer of Funds
Incidental Financial Business Rules Guidance
Interest on Invested Funds (.pdf)
Standards of Conduct
Trust and Company Service Providers
Further information on Professional Practice issues can be found on the Professional Practice FAQs page.
Updated: August 2009
