(1) La relación con sus clientes se considerará de naturaleza fiduciaria y se exigirá que ejerza sus funciones con el mayor grado de diligencia, cuidado, lealtad y beneficio pecuniario para su cliente.
(2) Mantener la oficina o local adecuado para atender a sus clientes, donde pueda ser localizado durante horas de oficina.
(3) Llevar y mantener en la oficina o local de negocios todos los informes, libros, récords, registros, documentos, papeles u otra evidencia relacionada con su negocio.
(4) Preparar y someter a la Oficina del Comisionado cualquier informe que éste le requiera de sus negocios y operaciones.
(5) Cumplir con cualquier orden a resolución del Comisionado.
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