A Registered Representative (RR) at an Investment Dealer is recommending a position in a listed private equity corporation to a mid-sized pension fund client. How should the RR proceed in compliance with CIRO IDPC Rule 3402?

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Under IDPC Rule 3402, the RR must ensure the investment aligns with the client's risk profile, specifically accounting for the unique risks of leverage and valuation complexity inherent in LPE.

A Registered Representative (RR) at an Investment Dealer is recommending a position in a listed private equity corporation to a mid-sized pension fund client. How should the RR proceed in compliance with CIRO IDPC Rule 3402?

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