Skip navigation

Can we reject unsolicited trades

or Register to post new content in the forum



  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Oct 25, 2018 8:21 pm

Hi team,

I live in Canada and I was wondering, can we reject unsolicited orders. Our firm is telling us that we have to sell only prop funds after many years of selling third party funds including prop. A client calls me and asks to buy Dynamic Balanced Fund (unsolicited, in line with his risk appetite). Can we say "NO, you have to buy our Proprietary Funds!" Isn't this practise illegal and punishable by the regulators?