< Study Room | 06.11.2017

Which of the following is a requirement for a client to be treated as a professional client?

Which of the following is a requirement for a client to be treated as a professional client?

A – It is essential that no advice is given.  It is essential that no advice is given.

B – The client refuses to disclose information to you.

C – The client must confirm their agreement in writing.

D – The professional client basis will apply to all new investment business.


Answer:

C: A professional client must confirm their status in writing

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