D-9.2, r. 10 - Regulation respecting the pursuit of activities as a representative

Section 10 Disposition versions

2013-10-22

10. Upon first meeting a client, a representative must give the client a document, such as a business card, which indicates the following:

(1)  the representative’s name;

(2)  the representative’s main business address, business telephone number and electronic mail address, if any;

(3)  the name of the firm or independent partnership on whose behalf the representative is acting or the description “independent representative”, as the case may be;

(4)  the titles under An Act respecting the distribution of financial products and services (chapter D-9.2) which the representative is authorized to use in respect of the firm or independent partnership on whose behalf he is acting or the titles under such Act which he is authorized to use as an independent representative, as the case may be.

O.C. 830-99, s. 10; M.O. 2013-12, s. 11.

2012-09-01

10. Upon first meeting a client, a representative must give the client a written document, such as a business card, which indicates the following:

(1)  the representative’s name;

(2)  the representative’s business addresses, business telephone numbers and facsimile number, if any;

(3)  the titles the representative is authorized to use;

(4)  the sectors or classes of sectors in which the representative is authorized to act as indicated in his certificate, unless the titles he uses are representative thereof;

(5)  the name of the firm or independent partnership on whose behalf the representative pursues activities.

O.C. 830-99, s. 10.