Behaviour of the type referred to in APER 4.1.3 E includes, but is not limited to, deliberately:
misleading a client by informing him that products require only a single payment when that is not the case;
mismarking the value of investments or trading positions;
procuring the unjustified alteration of prices on illiquid or off-exchange contracts, or both;
misleading others within the firm about the credit worthiness of a borrower;
providing false or inaccurate documentation or information, including details of training, qualifications, past employment record or experience;
providing false or inaccurate information to the FSA;
misleading others in the firm about the nature of risks being accepted.
Behaviour of the type referred to in APER 4.1.8 E includes, but is not limited to, deliberately:
preparing performance reports for transmission to customers which are inaccurate or inappropriate (for example, by relying on past performance without appropriate warnings);
preparing inaccurate training records or inaccurate details of qualifications, past employment record or experience;
preparing inaccurate trading confirmations, contract notes or other records of transactions or holdings of securities for a customer, whether or not the customer is aware of these inaccuracies or has requested such records.
Behaviour of the type referred to in APER 4.1.10 E includes, but is not limited to, deliberately:
front running client orders;
using a client's funds for purposes other than those for which they were provided;
retaining a client's funds wrongly;