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File: 29230/MSD202332591October 18, 2023Re: Request for Access to Records Freedom of Information and Protection of Privacy Act (FOIPPA) I am writing further to your request received by the Ministry
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What is all records of advice?
All records of advice refer to a comprehensive documentation of guidance and recommendations provided to clients by financial advisors or investment professionals.
Who is required to file all records of advice?
Financial advisors and investment firms that provide advisory services to clients are required to file all records of advice.
How to fill out all records of advice?
To fill out all records of advice, advisors should detail the advice given, include client information, document the rationale behind the advice, and ensure all sections of the form are completed accurately.
What is the purpose of all records of advice?
The purpose of all records of advice is to ensure transparency, accountability, and compliance with regulatory requirements while protecting the interests of clients.
What information must be reported on all records of advice?
All records of advice must report client details, the nature of the advice given, the reason for the recommendations, and any associated risks.
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