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

Section 8 Disposition versions

2013-10-22

8. No financial planner may render financial planning services in such capacity unless he has first entered into a written agreement with the client which, as a minimum, specifies the following:

(1)  the nature and scope of the mandate;

(2)  an estimate of the number of hours required to complete the mandate;

(3)  all the sectors or classes of sectors in which he is authorized to act and a description of the financial products and services that are likely to be offered by the financial planner;

(4)  the client’s signature, attesting to the acceptance of the mandate.

No agreement entered into under the first paragraph may oblige the client to purchase a financial product or service.

This mandate must be dated and signed by the financial planner and given to the client.

O.C. 830-99, s. 8; M.O. 2013-12, s. 7.

2012-09-01

8. No financial planner may render financial planning services in such capacity unless he has first entered into a written agreement with the client which, as a minimum, specifies the following:

(1)  the nature and scope of the mandate;

(2)  an estimate of his remuneration and of the number of hours required to complete the mandate;

(3)  all the sectors or classes of sectors in which he is authorized to act and a description of the financial products and services that are likely to be offered by the financial planner;

(4)  the client’s signature, attesting to the acceptance of the mandate.

No agreement entered into under the first paragraph may oblige the client to purchase a financial product or service offered by the financial planner.

O.C. 830-99, s. 8.