Integrity and Standards of Conduct. CESL insists that, in its dealings with customers, its staff must use the highest standard of integrity in their actions at all times. CESL’s monitoring and training programmes are designed to ensure that all relevant staff are familiar with and observe, inter alia, the FCA Principles for Businesses, the Statements of Principle and Code of Practice for Approved Persons.
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Samples: Client Brokerage Agreement, Cowen Execution Services, Cowen Execution Services