Money Dealings With Client — Strict NO List — KSLU Ethics Notes

Money Dealings With Client — Strict NO List

flowchart TD
    Cl[Client Money] --> NoBid[Cannot bid at client's auction]
    Cl --> NoLend[Cannot lend money to client]
    Cl --> NoPerc[No contingency or percentage fee]
    Cl --> NoAdj[Cannot adjust own debt against client money]
    Cl --> AccBook[Must maintain accurate account books - Rule 27]
    Cl --> Return[Must return documents on demand - Rule 32]