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  • BC-2.11 BC-2.11 Confidentiality

    • BC-2.11.1

      Investment firm licensees must ensure that any information obtained from their clients is not used or disclosed unless:

      (a) They have the client's consent; or
      (b) Disclosure is made in accordance with the licensee's regulatory obligations.
      (c) The licensee is legally obliged to disclose the information in accordance with Article 117 of the CBB Law.
      Amended: July 2010
      Amended: January 2007

    • BC-2.11.2

      Investment firm licensees must take appropriate steps to ensure the security of any information handled or held on behalf of their clients.