Resources for our members

Client Files - Content

To fulfil all his obligations and, in particular, demonstrate this if needed, the representative must ensure that all the documents and information required by regulations (and by the firm, independent partnership, or brokerage for which he works, as applicable) is included in the client file. Because documents and information vary depending on the nature of the client file, representatives must consult the regulation that applies specifically to the field or registration category in question. More information is provided below.

Insurance and financial planning

 

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Mutual funds and scholarship plans

 

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