INMA 9A.1.2 Confirmation notes — omission of information
(a) a person fails to give an INMA firm information that the firm needs for inclusion in a confirmation note for a transaction in relation to a relevant investment for a customer; or
(b) the transaction executed by an INMA firm in relation to a relevant investment for a customer involves a conversion of a currency into another currency and the firm has not made the conversion;
the firm may omit the information from the confirmation note if its omission is indicated by a statement to the effect that it will be supplied later or that it cannot be supplied.
(2) If the INMA firm gets the information later, the firm must promptly give the information to the customer.
|Inserted by QFCRA RM/2019-4 (as from 1st January 2020).|