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BC-2.6.5

Without prejudice to the scope of the requirement under Rule BC-2.6.2(c), investment firm licensees must provide retail clients with appropriate guidance on, and warnings of, relevant risks when providing regulated investment services, in relation to:

a) Transactions in illiquid financial instruments;
b) Leveraged transactions, including asset portfolios or collective investment schemes that have embedded leverage;
c) Financial instruments subject to high volatility in normal market conditions;
d) Securities repurchase agreements or securities lending agreements;
e) Transactions which involve credit, margin payments, or deposit of collateral;
f) Transactions involving material foreign exchange risk
g) Interests in real estate; and/or
h) Islamic financial instruments.
Amended: January 2007