The section gives example of how dealers/remisiers should conduct themselves.

1. Is your consultant authorised to deal in unit trust funds / PRS?
2. Does your consultant accept cash for your investment or have it credited into their personal bank accounts?
3. Does your consultant request you to pre-sign (or pre-thumbprint) any forms relating to your investment?
4. Does your consultant issue, circulate or distribute any application form accompanied with a copy of the prospectus?
5. Has the prospectus of the unit trust fund or PRS given by your consultant been registered with SC?
6. Does your consultant make any forecast in relation to any unit trust fund or PRS?
7. Does your consultant enter into any understanding or agreement (whether written or otherwise) to make an investment decision on your behalf?
8. Does your consultant guarantee the performance of your investment?
9. Does your consultant try to sell you other products apart from unit trusts or PRS?
10. Does what the consultant tell you about the product match what is said in the prospectus?
11. Does your consultant make clear all essential attributes of the fund?
a. The investment objectives of the unit trust fund or PRS.
b. The investment strategy to achieve the stated objectives.
c. The risks of investing in that unit trust or PRS.
d. The distribution policy
e. All fees, charges and expenses involved
f. The tax implications (if any)
g. Cooling-off period (where applicable)