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BC-2.3.15

An employee of the investment firm licensee must, on making contact for the first time with a client, and again at any time when asked to do so by the client:

(a) Identify himself as being an employee of the investment firm licensee;
(b) State the name of the investment firm licensee; and
(c) Present the client with a business card on meeting that client, unless he has given him such a card at a previous meeting. The business card must include the information specified in Section GR-2.2.
Amended: October 2013
Amended: January 2011
January 2007