Custom print

BC-2.3.15

Past version: Effective from 01 Jan 2011 to 30 Sep 2013
To view other versions open the versions tab on the right

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 (refer to Section GR-2.2).
Amended: January 2011
January 2007