- An Approved Person must not hold themselves out, and a Dealer Member must not hold itself or its Approved Persons out, including through the use of a trade name, in a manner that could reasonably be expected to deceive or mislead any person or company as to any of the following matters:
- the proficiency, experience, qualifications or category of registration or approval of the Approved Person,
- the nature of the person’s relationship, or potential relationship, with the Dealer Member or the Approved Person, or
- the products or services provided, or to be provided, by the Dealer Member or the Approved Person.
- For greater certainty, and without limiting subsection 3640(1), an Approved Person who interacts with clients must not use any of the following:
- if based partly or entirely on that Approved Person’s sales activity or revenue generation, a title, designation, award, or recognition,
- a corporate officer title, unless their Dealer Member has appointed that Approved Person to that corporate office pursuant to applicable corporate law, or
- if the Approved Person’s Dealer Member has not approved the use by that Approved Person of a title or designation, that title or designation.
3641. – 3699. Reserved.