Investment service providers are obligated to display their rules of operation in the client reception rooms or make these rules available to clients upon request, and, in case of providing services electronically, to make it available for clients continuously and in an easily accessible form electronically as well.

In case the investment service provider acts through an agent broker, the broker agent has to inform the client prior to the signing of the security deal on the potential consequences arising from that fact (i.e.: longer terms, higher fees), and, it has to display in his client reception rooms the name of the investment service provider being in an agent broker’s contract with him in a clearly visible way, and, in case of providing services electronically, he has to make it continuously and easily available even in an electronic form and make it sure that clients have access to the rules of operation of the investment service provider.

Several statutory rules ensure the protection of customer claims. Thus, the investment service provider may use the asset owned by the client exclusively according to the client’s instructions – excluding the case stipulated in the Act on Capital Markets. The investment service provider may not dispose of the client’s asset in his custody as of its own. The investment service provider has to ensure that the client should be able to dispose at any time of the investment asset, stock exchange product, or financial asset in his ownership.

The investment company has to manage his own assets separated from the client’s financial assets. The investment company has to keep the financial assets on the client’s account exclusively on an account opened for that purpose at a bank or at a clearing house operating as a specialized credit institution, but even in this case it has to make it sure that the client’s assets and his own assets are managed separately.

The investment service provider has to manage his clients’ investment assets, stock exchange products separated from his own assets and stock exchange products.

Claims and commitments in the clients and securities account arising from spot, option, and futures transaction are to be recorded separately.

The abovementioned claims due to clients are not to be used for the settlement of the investment service supplierprovider’s debt against its lender.

Also for the sake of protection of investors’ interest advertising of services subjected to the Act on Capital Markets are to be announced publicly only by investment service providers who are incorporated in Hungary with the license to perform investment and supplementary investment services. According to the stipulations of Act No. LVIII of 1997 on business advertising, the General Inspectorate for Consumer Protection, or, the county (metropolitan) inspectorates for consumer protection and the Hungarian competition authority are legitimated to proceed concerning these advertisements.

In the advertisement announced by the issuer or the distributor only the actually available interest, average interest, yield, or other income might be published. As stipulated in the Government decree of 41/1997 (III.5) on the computation and announcement of deposit interest rates, yield of securities and total credit-fee indicator the uniform yield indicator (with the Hungarian acronym: EHM), computed using a determined formula, the formula itself, date of interest payment, and any other fact, information, term, which influences the amount to be paid on the security is mandatory to indicate, thus ensuring comparability of various investments. The specific public notice, proposal, advertisement concerning the security deal has to include the value of the uniform yield indicator - with indicating the acronym, to two places of decimals – in a well-marked way.

Moreover, the Act guarantees the possibility of filing an action for the public prosecutor in cases of violating the rules of regular and special public announcements and insider trading - stipulated by law - against the issuer, the investment service provider, or the insider trader in order to state the nullity and voidness of the security issued with misleading information or a contract signed through insider trading. When stating voidness the force of the sentence of the court covers all contracts concerned with misleading information and insider trading. These trials belong exclusively into the competence and jurisdiction of the Metropolitan Court.