D-9.2, r. 19 - Regulation respecting the keeping and preservation of books and registers

Section 7 Disposition versions

2020-05-01

7. The register pertaining to the separate account shall contain the following information:

(1)  the client’s name;

(2)  the number of the insurance contract or any other contract in respect of which the representative has received an amount, as the case may be;

(3)  the amount and the object of the transaction;

(4)  in the case of the separate account kept by a firm or an independent partnership, the name of the representative involved in the transaction when he may be identified;

(5)  in the case of the separate account kept by a firm, an independent representative or an independent partnership registered in the sector of mortgage brokerage:

(a)  the date of the deposit to the separate account;

(b)  the date of the withdrawal from the separate account;

(c)  the name of the recipient of the amount paid out of the separate account.

Decision 99.05.76, s. 7; M.O. 2020-06, s. 1.

2012-09-01

7. The register pertaining to the separate account shall contain the following information:

(1)  the client’s name;

(2)  the number of the insurance contract or any other contract in respect of which the representative has received an amount, as the case may be;

(3)  the amount and the object of the transaction;

(4)  in the case of the separate account kept by a firm or an independent partnership, the name of the representative involved in the transaction when he may be identified.

Decision 99.05.76, s. 7.