Ministère de l'Emploi et de la Solidarité sociale
Consolidated Statutes and Regulations Consolidated Statutes Consolidated Regulations Annual Statutes and Regulations Annual Statutes Annual Regulations Additional information Québec Official Publisher What’s new? Information note Policy of the Minister of Justice Laws: Amendments Laws: Provisions not in force Laws: Provisions brought into force Annual Statutes: PDF versions since 1996 Regulations: Amendments Annual Regulations: PDF versions since 1996 Court Decisions

I-14.01 - Derivatives Act

Section 70
Disposition versions

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.
© Gouvernement du Québec