I-14.01 - Derivatives Act

Full text
70. Dealers must, before the first trade on behalf of a client, give the client the risk information document prescribed by regulation.
If trades on behalf of a client are in a derivative created and marketed by a qualified person, dealers must also give the client the information prescribed by regulation.
Dealers who trade on behalf of a client who is not an accredited counterparty under a mandate granting them full discretion in executing the mandate are exempted from the application of this section.
2008, c. 24, s. 70; 2009, c. 25, s. 119.
70. Dealers must, before the first trade on behalf of a client, give the client the risk information document prescribed by regulation.
If trades on behalf of a client are in a derivative created and marketed by a qualified person, dealers must also give the client the qualification information submitted to the Authority by that person.
Dealers who trade on behalf of a client who is not an accredited counterparty under a mandate granting them full discretion in executing the mandate are exempted from the application of this section.
2008, c. 24, s. 70.