Page 9 - EBS B.O'Brien FS Ltd EHB 4

7.4.1 Treating customers fairly ..................................................................................................... 68

7.4.2 Dealing with authorised representations ............................................................................ 68
7.4.3 Providing advice or financial support .................................................................................. 68

7.4.4 Customer-related conflicts of interests ............................................................................... 69
7.4.5 Personal conflicts of interests .............................................................................................. 69

7.5 OUR STAFF .................................................................................................................................. 69
7.6 OUR STAFF: SOME EXAMPLES OF OUR STANDARDS .................................................................. 70
7.6.1 Acting lawfully and ethically ................................................................................................ 70

7.6.2 Personal behaviour .............................................................................................................. 70
7.6.3 Personal accountability ........................................................................................................ 71

7.6.4 Confidentiality ...................................................................................................................... 71
7.6.5 Use of electronic communication ........................................................................................ 71
7.6.6 Personal finances and tax .................................................................................................... 71

7.6.7 Alcohol, drugs, gambling ...................................................................................................... 71
7.7 CORPORATE SOCIAL RESPONSIBILITY ......................................................................................... 72

7.8 PROFESSIONAL CONDUCT AND APPEARANCE POLICY ............................................................... 72
7.8.1 Purpose ................................................................................................................................ 72

7.8.2 Scope .................................................................................................................................... 72
7.8.3 Policy .................................................................................................................................... 72

7.8.4 Uniform and Dress Code ...................................................................................................... 72
7.9 POLICY ON DEALING IN SHARES AND OTHER FINANCIAL INSTRUMENTS .................................. 75
7.9.1 Policy .................................................................................................................................... 75

7.9.2 Introduction and Scope ........................................................................................................ 75
7.10 EBS INFORMATION SECURITY SUMMARY POLICY .................................................................... 77

7.10.1 Responsibilities .................................................................................................................. 77
7.10.2 Approval ............................................................................................................................. 78

7.10.3 Support documentation ..................................................................................................... 78
7.11 INFORMATION SECURITY SUPPORT POLICIES ........................................................................... 78

7.11.1 Building Access Control ...................................................................................................... 78
7.11.2 Visitor Controls .................................................................................................................. 79
7.11.3 Use of EBS Facilities ........................................................................................................... 79

7.11.4 Clean Desk Guideline ......................................................................................................... 79
7.12 EQUIPMENT SECURITY .............................................................................................................. 80

7.12.1 Voicemail ............................................................................................................................ 80
7.12.2 Mobile Phones ................................................................................................................... 80
7.12.3 USB Keys / Memory Sticks / Removable Disks ................................................................... 81

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