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

Section 14
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14. No representative may pursue activities as a representative unless the representative is acting for a firm, is registered as an independent representative or is a partner in or employee of only one independent partnership.
Representatives acting for several firms must disclose the name of the firm for which they are acting to the client with whom they are transacting business.
1998, c. 37, s. 14; 2009, c. 25, s. 58.
14. No representative other than a securities representative may pursue activities as a representative unless the representative is acting for a firm, is registered as an independent representative or is a partner in or employee of only one independent partnership.
Representatives acting for several firms must disclose the name of the firm for which they are acting to the client with whom they are transacting business.
No securities representative may pursue activities as a securities representative unless the representative is acting for only one firm.
1998, c. 37, s. 14.
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