Q: 17
Quintin has been a Dealing Representative for Global Maximum Financial for 5 years. Today, he
opened an account for his new client, Reginald. In addition to opening a new account, Reginald
agreed to
accept Quintin's investment recommendation and placed a purchase order to buy units of the Global
Maximum Value Equity fund.
Quintin informed his Branch Manager Lupita about this new account on the same day the purchase
order was received. Lupita told Quintin that she would complete her review of the New Client
Application Form (NCAF) by no later than tomorrow.
Which statement regarding this new account opening is CORRECT?
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