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Executive Bylaws - CMA

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Executive Bylaws

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  • February 17
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6-1-3 Of Module Seven: Clients’ Funds and Clients’ Assets
Section: Chapter Six: A Qualified Securities Broker Registered in the Exchange
  • Sunday, 05 February 2017

    If there is insufficient information related to a client in respect of Article 6-1-1 of this Module, the Licensed Person shall notify the Client. The Licensed Person shall suspend such services to a client who fails to provide the information after the expiry of the notice term.

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