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Under the General Code, when must a representative disclose that they are rendering services under supervision?

RE5 practice question with a worked answer. This is one of hundreds of FSCA RE5 questions in the RegulatoryExams question bank.

  1. a) To the client, where required, so the client understands the representative is working under supervision.Correct
  2. b) Never, because it might worry the client.
  3. c) Only to the product supplier, never the client.
  4. d) Only after the transaction is completed.

Why this is the answer

Supervised status must be disclosed to the client where required, so the client understands the nature of the service. Concealing it, or only revealing it after the fact, is not compliant.

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