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  • Confirmation of Transactions

    • BC-2.8.2

      When an investment firm licensee executes a transaction in a financial instrument for a client, it must promptly despatch to the client, or a designated agent of the client, a written confirmation note recording the essential details of the transaction and essential information regarding the carrying out of his order.

    • BC-2.8.3

      For the purposes of Rule BC-2.8.2, the essential details of the transaction and essential information regarding the carrying out of the order include:

      (a) Execution price;
      (b) Charges; and
      (c) Time of execution.
      Amended: January 2007

    • BC-2.8.4

      For the purposes of Rule BC-2.8.2, investment firm licensees must include at the very least in their confirmation notes, the information included in Paragraph BC-2.12.7.