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Code of Conduct Adhere to the specific Codes of Conduct

To save time, a representative asks a client to sign a proposal form that is still blank, promising to complete it at the office from his notes. Which statement reflects the General Code?

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

  1. a) He may not ask a client to sign a form before all the details are completed.Correct
  2. b) He may do this, provided the client gives him written permission to complete the form.
  3. c) He may do this for existing clients, whose details he already holds on file.
  4. d) He may do this, provided he sends the client a copy of the completed form within 30 days.

Why this is the answer

No provider may ask a client to sign a written or printed form or document unless all details required to be inserted by or on behalf of the client have already been inserted. The provider must also tell the client that the accuracy and completeness of the information is the client's own responsibility, which is impossible if the form is blank when signed.

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