D-9.2, r. 2 - Regulation respecting firms, independent representatives and independent partnerships

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17. The client records that must be kept by firms, independent representatives and independent partnerships in respect of each client in connection with the pursuit of their activities, save those relating to the sectors of damage insurance, must include the following information:
(1)  the client’s name;
(2)  the client’s address, telephone number, and facsimile number or electronic mail address, if any;
(3)  where the client is a natural person, his date of birth where such information is obtained by the representative;
(4)  the amount, object and nature of the product sold or service rendered, as the case may be;
(5)  the policy number, contract issue dates and the date of the signature of the proposal or request for services, as the case may be;
(6)  the name of the representative involved in the transaction and the method of remuneration for each product sold or service rendered to the client;
(7)  the method and date of payment of the products sold or services rendered;
(8)  a copy, in any medium, of the needs analysis prescribed in section 6 of the Regulation respecting the pursuit of activities as a representative (chapter D-9.2, r. 10);
(9)  a copy of the form completed and signed, at the time of replacement of an insurance policy, where applicable, as prescribed in Division VII of the Regulation respecting the pursuit of activities as a representative;
(10)  a copy of the documents prescribed in sections 8, 9 and 16 of the Regulation respecting the pursuit of activities as a representative.
All other information or documents concerning products sold or services rendered to the client and obtained from him must also be inscribed on or filed in the client’s record by the firm, the independent representative or the independent partnership.
O.C. 832-99, s. 17; M.O. 2013-12, s. 2.
17. The client records that must be kept by firms, independent representatives and independent partnerships in respect of each client in connection with the pursuit of their activities, save those relating to the sectors of damage insurance or real estate brokerage, must include the following information, where necessary:
(1)  the client’s name;
(2)  the client’s address, telephone and facsimile numbers, and electronic mail address, if any;
(3)  where the client is a natural person, his date of birth where such information is obtained by the representative;
(4)  the amount, object and nature of the product sold or service rendered, as the case may be;
(5)  the policy number, contract issue dates and the date of the signature of the proposal or request for services, as the case may be;
(6)  the name of the representative involved in the transaction and the method of remuneration for each product sold or service rendered to the client;
(7)  the method and date of payment of the products sold or services rendered;
(8)  a copy, in any medium, of the needs analysis prescribed in section 6 of the Regulation respecting the pursuit of activities as a representative (chapter D-9.2, r. 10);
(9)  a copy of the form completed at the time of replacement of an insurance policy, where applicable, as prescribed in Division VII of that Regulation.
All other information or documents concerning products sold or services rendered to the client and obtained from him must also be inscribed on or filed in the client’s record by the firm, the independent representative or the independent partnership.
O.C. 832-99, s. 17.