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Executive Bylaws - CMA

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Executive Bylaws

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  • February 17
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5-1-5 Of Module Seven: Clients’ Funds and Clients’ Assets
Section: Chapter Five: Securities Investment Portfolios Rules
  • Sunday, 05 February 2017

    A Licensed Person shall be exempt from obtaining the information referred to in paragraphs 3, 4 and 5 of Article 5-1-1 of this Module if the services to be provided are a Professional Client by Nature.

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