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13227913
MEETING POTENTIAL CLIENTS
Descrição
Regulatory requirements when meeting potential customers
Sem etiquetas
qfa regulations
central bank
meeting potential customers
acca
Mapa Mental por
MARTHA MADRIZ
, atualizado more than 1 year ago
Mais
Menos
Criado por
MARTHA MADRIZ
mais de 6 anos atrás
3
0
0
Resumo de Recurso
MEETING POTENTIAL CLIENTS
the individual contact the firm
following on advertising
Following recommendation from friend, relative or existing client
Following a referral from existing client, another professional adviser, an associated firm
on foot of Referral
in line with
Data Protection Restrictions
Electronic Privacy Restrictions
Consumer Protection Code restriction
Ring or email
1- IDENTIFY YOURSELF
Your name and the Firm you represent
Term of Business
First and before providing advice or financial services
Legal, Trading name(s), Address, contact details of the firm
Name of the Group which firm belong
confirmation that firm is authorised, licensed or registered and name of Regulatory authority that authorised it
A statement indicating which code of conduct firm must comply
DESCRIPTION of the financial services the firm provides
If acting as Intermediary, a description of the level of service for each product type
SPECIFY each product and service for which it is tied, and the name of the form to which it is tied
General statement of The CHARGES imposed
Summary of firm POLICY on how
consumer data is used
in relation to conflict of interest
Remedies in the event of default by consumer
Effective date of term of business document
Complaint procedures
Stand alone basis
To sign Term of Business is not a requirement from Central Bank
Firm must not compell client to sign
if customer signs term of business
if a "Material change is done" to Term of Business firm must notify to EACH affected customer as soon as possible
2- STATE on whose behalf you are acting and purpose of the call
3- INFORM the consumer call being recorded, if the case
4- DISCLOSE the source of the business lead r referral with supporting documents
5- ESTABLISH if the consumer wishes to continue, if not-END email/call inmediatelly
BE SURE
obtain personal data fairly
Consent provided,purpose of data, separate inform consent for each visit. Firm to maintain record of consents given
can you use data for marketing purpose?
will the contact comply with the code
is it compliant with electronic privacy regulation
CUSTOMER DUE DILIGENCE
AN OBLIGATION before providing Financial Service
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