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Listen You are a busy investment advisor (IA). Under what circumstances may you ask your assistant to make calls to existing clients about a new

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Listen You are a busy investment advisor (IA). Under what circumstances may you ask your assistant to make calls to existing clients about a new stock recommendation? If the assistant is a licensed Investment Advisor (IA). If the assistant is an Investment Representative (IR). If you place the call and introduce the assistant who then makes the recommendation. If the assistant is an IR who has completed Part I of the Canadian Investment Management program. Previous Page Next Page Page 11 of 30

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