Maintenance of records

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..... ility assessment of the advice being provided; 1 [ (d) Copies of agreements with clients, incorporating the terms and conditions as may be specified by the Board; ] (e) Investment advice provided, whether written or oral; (f) Rationale for arriving at investment advice, duly signed and dated; (g) A register or record containing list of the clients, the date of advice, nature of the .....

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