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"]