An Investment Dealer has obtained written consent to contact a client's Trusted Contact Person (TCP). If the Dealer contacts the TCP due to concerns about the client's mental capacity, which of the following actions is the TCP permitted to take?

Question

Accepted Answer

Under Rule 3202(4), the TCP is intended as a resource to help the firm confirm the client's well-being, mental capacity, or the contact information of a legal representative.

An Investment Dealer has obtained written consent to contact a client's Trusted Contact Person (TCP). If the Dealer contacts the TCP due to concerns about the client's mental capacity, which of the following actions is the TCP permitted to take?

Discussion