Nelson is a Dealing Representative with True Wealth Advisors Inc., a mutual fund dealer. Nelson follows proper procedures related to his firm’s Relationship Disclosure Information (RDI). Which of the following CORRECTLY describes how Nelson is permitted to evidence that he satisfied his RDI obligation?

A Dealing Representative must maintain evidence of having delivered and explained the Relationship Disclosure Information (RDI) to the client. The most direct and compliant method is to keep a copy of the provided RDI document in the client's file, accompanied by detailed, contemporaneous notes. These notes should confirm the date of delivery and that a discussion took place to ensure the client understood the contents. This creates a clear audit trail for compliance purposes, demonstrating that the firm has met its regulatory obligations under the Client Relationship Model (CRM2).

B. The RDI must be provided to all new clients and when significant changes occur; it is not an on-request document.
C. A Letter of Engagement can supplement the relationship, but it does not replace the specific regulatory requirement to provide the RDI document.
D. The Fund Facts document is specific to a mutual fund purchase, whereas the RDI outlines the nature of the client-dealer relationship.

1. IFSE Institute, Canadian Investment Funds Course (CIFC), Part 1, Module 4, Section 3: "Relationship Disclosure". The course material specifies that dealers must provide the RDI and maintain evidence of doing so.

2. Canadian Securities Administrators (CSA), National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP, Part 14.2: "Relationship disclosure information". This policy outlines the requirement to deliver the RDI and the expectation that firms can demonstrate compliance.