Rules of conduct conduct regulations 2004 under Bye-Laws 10(1), 19, 20 and 22B (complete set) [old rules]

Part I - general: Rule 1 - interpretation; Rule 2 - service of documents

Part II - personal and professional standards: Rule 3 - conduct befitting membership of the Institution; Rule 4 - standard of service

Part III - conduct of professional activities and business: Rule 5 - advertising; Rule 6 - references to the Institution; Rule 7 - status and designations; Rule 8 - notification of terms of engagement; Rule 9 - confidentiality; Rule 10 - timeliness in handling clients' affairs; Rule 11 - complaints handling procedure; Rule 12 - practice through the medium of a company or limited liability partnership

Part IV - practice details and co-operation: Rule 13 - particulars of practice; Rule 14 - co-operation

Part V - conflicts of interest, impartiality and independence: Rule 15 - interpretation; Rule 16 - group arrangements; Rule 17 - conflict of interest and confidentiality; Rule 18 - conflict between a Member's interest and a client's interest; Rule 19 - conflict between the interests of clients; Rule 20 - personal interests; Rule 21 - public office holders; Rule 22 - transparency of fees and benefits; Rule 23 - duties to third parties

Part VI - professional indemnity insurance: Rule 24 - obligation to carry insurance; Rule 26 - Ireland; Rule 27 - waiver of insurance requirements

Part VII - Members' accounts: Rule 28 - application; Rule 30 - obligation to keep client accounts; Rule 31 obligation to keep accurate records

Part VIII - lifelong learning: Rule 35 - interpretation; Rule 36 - application; Rule 37 - obligation to undertake lifelong learning; Rule 38 - LLL records; Rule 39 - LLL after lapse of annual subscription concessions; Rule 40 - waiver of LLL requirements

Part IX - Member's failure to deliver information (Bye-Law 22B): Rule 41 - maximum fines

Schedule 1 to Conduct Regulation 27.1 - UK, the Channel Islands and the Isle of Man: Part 1 - complaints handling procedure (Rule 1 - complaints handling procedure); Part II - professional indemnity insurance (Rule 2 - interpretation; Rule 3 - application; Rule 4 - obligation to carry insurance; Rule 5 - run-off cover; Rule 6 - requirements; Rule 7 - Assigned Risks Pool, Rule 8 - listed insurer; Rule 9 - monitoring and return of certificates; Rule 10 - exclusion of liability; Rule 11 - waiver of insurance requirements); Part III - Members' accounts (Rule 12 - interpretation; Rule 13 - application, Rule 15 - transitional period; Rule 16 - number, name and nature of client account; Rule 17 - client account conditions; Rule 18 - accounts over which Members do not have exclusive control; Rule 19 - payment into client account; Rule 20 - money that may be withheld from a client account; Rule 21 - payment from client account; Rule 22 - exemption for auctioneers; Rule 23 - discrete client account; Rule 24 - transfer between client accounts; Rule 25 - signatories to client accounts; Rule 26 - accounting records; Rule 27 - misappropriation of client's money; Rule 28 - provision of certificates and accountant's reports; Rule 29 - fines for non-provision; Rule 30 - visits of inspection; Rule 31 - waiver of Members' accounts requirements); Part IV - accountant's report (Rule 32 - qualification of accountants; Rule 33 - accountant's reports; Rule 34 - scope of accountant's work; Rule 38 - waiver of accountants' reporting requirements); Appendix A - letter prescribed under Schedule 1 Rule 18; Appendix B Part 1 - letter prescribed under Schedule 1 Rule 23(4)(b); Appendix B Part 2 - letter prescribed under Schedule 1 Rule 23(4)(c); Appendix B Part 3 - letter prescribed under Schedule 1 Rule 23(4)(d) for fixed charge receiver or LPA receiver accounts

Came in force 1 January 2004.

Supersedes previous edition "Rules of conduct: conducts regulation 2003 under bye-laws 10(1), 19, 20 and 22B" (J120976).