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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