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  • Client Understanding and Acknowledgement

    • BC-2.4.8

      Investment firm licensees must not enter into a client agreement unless they have taken reasonable care to ensure that their retail client has had a proper opportunity to consider the terms.

    • BC-2.4.9

      Investment firm licensees must obtain their retail client's consent to the terms of the client agreement as evidenced by a signature or an equivalent mechanism.

    • BC-2.4.10

      The equivalent mechanism refers to instances where a client may have signed a mandate letter or other document accompanying the terms of the client agreement.

      Amended: January 2007

    • BC-2.4.11

      The client agreement must contain the signature of both parties to the agreement. If the agreement is signed by only the client, copies of the signed agreement must be provided by the investment firm licensee to the client. A copy of the signed client agreement must be provided by the Investment firm licensee to the client.

      Amended: October 2017