CmaBylaw
Executive Bylaws
5-1-6 Client’s Needs Fulfilment Of Module Seven: Clients’ Funds and Clients’ Assets
Section: Chapter Five: Securities Investment Portfolios Rules
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Sunday, 05 February 2017
Upon providing investment services for Clients, the Licensed Person shall ensure the contents of the following table according to each Investment Portfolio type: Investment Portfolio managed by The Licensed Person: Consistency with Clients’ investment needs and financial positions, Consistency with instructions issued by Clients, Relevance to Client’s ability to take risks Investment Portfolio managed by the Client: Consistency with instructions issued by Clients Investment Portfolio for Custody: Relevance to Client’s ability to take risks.
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