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BC-2.3.15

Past version: Effective from 01 Jul 2007 to 31 Dec 2010
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A representative 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 a representative 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 a statement of the investment firm licensee's legal status.
Amended: January 2007