MANAGED ACCOUNTS

3281. Fees and remuneration

Or jump to a Series:

    1. A Dealer Member may not charge a client directly for services rendered to the managed account, that is:

      1. based upon the volume or value of transactions in the account initiated for the account, or 

      2. contingent upon profit or performance of the client’s account, 
    2. unless the client has provided the Dealer Member with a written agreement which sets out the manner in which the fees may be charged based on volume or value of transactions or contingent upon profit or performance.
    3. A Dealer Member must not compensate a person referred to in section 3279, on the basis of the value or volume of transactions in the account. 

    3282.  - 3399.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.