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BC-2.3.17

In oral communications with a retail client, whether in person or by telephone, the employee of the investment firm licensee must:

(a) State the genuine purpose of the call at the commencement of the conversation;
(b) Ascertain whether or not the client wishes him to proceed with the conversation if the time of the conversation was not previously agreed by the client;
(c) Explain clearly the financial instruments or other services which he is authorised to arrange;
(d) Recognise and respect the right of the client to terminate the call at any time; and
(e) If he requests another appointment and the client refuses, shall accept that refusal courteously and in such a manner as to cause no embarrassment to the client.
Amended: October 2013
Amended: October 2011
Amended: January 2007