INMA 9A.1.7 Periodic statements — provision requirement

(1) If an INMA firm:
(a) acts as an investment manager for a customer; or
(b) operates a customer's account containing relevant investments; it must promptly, and at the intervals required by rule 9A.1.8, give the customer a written statement (a periodic statement).
(2) The periodic statement must include the information required by:
(a) Schedule 3, Part S3.1;
(b) if during the period covered by the statement the firm acted as an investment manager for the customer — Schedule 3, Part S3.2;
(c) if the statement covers a contingent liability transaction — Schedule 3, Part S3.3; and
(d) if the statement covers a transaction relating to a structured capital at risk investment — Schedule 3, Part S3.4.
(3) This rule is subject to rule 9A.1.9.
Inserted by QFCRA RM/2019-4 (as from 1st January 2020).