D-9.2 - Act respecting the distribution of financial products and services

Section 139 Disposition versions

2004-12-17

139. Each independent representative and independent partnership shall keep client-related records in Québec, in accordance with the regulations, in a place that is the establishment of the representative or the partnership, and shall inform the Authority of the location and address of that place.

The information collected on clients by an independent representative shall be conserved and made accessible to the Authority, and may be disclosed only to an insurer whose products are offered by the independent representative or to a person to whom disclosure is authorized by law. Where a financial planner is registered as an independent representative, the information may only be disclosed to a person to whom disclosure is authorized by law.

The same requirements apply to an independent partnership.

1998, c. 37, s. 139; 2002, c. 45, s. 499; 2004, c. 37, s. 90.

2004-02-01

139. Each independent representative and independent partnership shall keep client-related records in Québec, in accordance with the regulations, in a place that is the establishment of the representative or the partnership, and shall inform the Agency of the location and address of that place.

The information collected on clients by an independent representative shall be conserved and made accessible to the Agency, and may be disclosed only to an insurer whose products are offered by the independent representative or to a person to whom disclosure is authorized by law. Where a financial planner is registered as an independent representative, the information may only be disclosed to a person to whom disclosure is authorized by law.

The same requirements apply to an independent partnership.

1998, c. 37, s. 139; 2002, c. 45, s. 499.

1999-10-01

139. Each independent representative and independent partnership shall keep client-related records in Québec, in accordance with the regulations, in a place that is the establishment of the representative or the partnership, and shall inform the Bureau of the location and address of that place.

The information collected on clients by an independent representative shall be conserved and made accessible to the Bureau, and may be disclosed only to an insurer whose products are offered by the independent representative or to a person to whom disclosure is authorized by law. Where a financial planner is registered as an independent representative, the information may only be disclosed to a person to whom disclosure is authorized by law.

The same requirements apply to an independent partnership.

1998, c. 37, s. 139.