|
Topic |
Responsibility |
|
Acceptable Institutions/Acceptable Counterparties |
Financial & Operations Compliance |
|
Account Guarantees |
Business Conduct |
|
Account Supervision |
Business Conduct |
|
Account Transfers |
Business Conduct |
|
Acquisition |
Corporate Secretary |
|
Admission to Membership |
Corporate Secretary |
|
Advertising |
Business Conduct |
|
Arbitration |
Member Regulation Policy |
|
Bankruptcy |
Registration |
|
Branch / Sub-Branch Offices (Opening) |
Registration |
|
Branch Managers |
Registration |
|
Business Conduct |
Business Conduct |
|
Business Continuity Planning |
Professional Standards |
|
Policy Development and Status - Member |
Member Regulation Policy |
|
Policy Development and Status - Market |
Market Regulation Policy |
|
Policy Interpretations or Rulings - Member |
Member Regulation Policy |
|
Policy Interpretations or Rulings - Market |
Market Regulation Policy |
|
Policy Notices - Member |
Member Regulation Policy |
|
Policy Notices - Market |
Market Regulation Policy |
|
By-laws and Regulations |
Corporate Secretary |
|
Canadian Investor Protection Fund - assessments |
Financial & Operations Compliance |
|
Capital Requirements |
Financial & Operations Compliance |
|
Cash Accounts |
Financial & Operations Compliance |
|
Change of Control / Ownership |
Corporate Secretary |
|
Change of Name / Address of Member |
Corporate Secretary |
|
Change of Name / Address of Member personnel |
Registration |
|
Client Priority Rule |
Business Conduct |
|
Clients' Free Credit Balances |
Financial & Operations Compliance |
|
Code of Conduct |
Business Conduct |
|
Complaints (investor) |
Enforcement |
|
Compliance & Legal Section |
Member Regulation Policy |
|
Compliance Interpretation Bulletins |
Financial & Operations Compliance |
|
Concentration (securities) |
Financial & Operations Compliance |
|
Confirmation of Trades |
Business Conduct |
|
Conflict of Interest Disclosure |
Business Conduct |
|
Continuing Education - Course Completion Reports |
Continuing Education |
|
Continuing Education - Courses |
Business Conduct |
|
Continuing Education - Requirements |
Continuing Education |
|
Cross-Guarantees |
Financial & Operations Compliance |
|
Decals (IIROC Membership) |
Corporate Secretary |
|
Directors (industry and non-industry) |
Registration |
|
Disciplinary Process / Hearings |
National Hearing Coordinator |
|
Disclosure Requirements (members) |
Business Conduct |
|
Discretionary Trading / Managed Accounts |
Business Conduct |
|
Debt Market Regulation |
Business Conduct |
|
Early Warning |
Financial & Operations Compliance |
|
Education Sessions |
Member Education Services |
|
Electronic Confirmations |
Business Conduct |
|
Equity Trading Issues |
Market Surveillance |
|
Fees: Annual |
Finance & Administration |
|
Fees: Membership Applications |
Corporate Secretary |
|
Fees: Registration of Individuals |
Registration |
|
Financial Administrators Section |
Member Regulation Policy |
|
Financial Compliance Notices |
Financial & Operations Compliance |
|
Free Credit Balances |
Financial & Operations Compliance |
|
Futures Registration |
Registration |
|
Futures Trading |
Business Conduct |
|
Gatekeeper Reports |
Trade Review and Analysis |
|
Global Insurance |
Financial Compliance |
|
Halts and Resumptions |
Market Surveillance |
|
House Accounts |
Business Conduct |
|
Incentives: General |
Business Conduct |
|
Incentives: Mutual Fund Sales |
Business Conduct |
|
Indemnification |
Financial & Operations Compliance |
|
Initial Application for Registration |
Registration |
|
Insurance |
Financial & Operations Compliance |
|
Inter-dealer Bond Brokers |
Corporate Secretary |
|
Internal Controls |
Financial & Operations Compliance |
|
Internet Trading |
Business Conduct |
|
Introducing / Carrying Brokers - Agreements |
Business Conduct |
|
Introducing / Carrying Brokers - Financial Reporting |
Financial & Operations Compliance |
|
Investigations |
Enforcement |
|
Investment Advisors / Investment Representatives |
Registration |
|
Issuance of Shares by Members |
Financial & Operations Compliance |
|
Joint Regulatory Financial Questionnaire and Report (JRFQ&R) |
Financial & Operations Compliance |
|
Know Your Client / Suitability |
Business Conduct |
|
Leveraging |
Financial & Operations Compliance |
|
List of Members |
Corporate Secretary |
|
Lost Securities or Certificates |
Enforcement |
|
Managed Accounts |
Business Conduct |
|
Margin Calls |
Financial & Operations Compliance |
|
Margin Requirements |
Financial & Operations Compliance |
|
Market Issues |
Market Surveillance |
|
Membership Information |
Corporate Secretary |
|
Merger / Amalgamation of Members |
Corporate Secretary |
|
Minimum Capital Requirements |
Financial & Operations Compliance |
|
Monthly Financial Report (MFR) |
Financial & Operations Compliance |
|
Mutual Funds |
Business Conduct |
|
National Registration Database (NRD) |
Registration |
|
National Registration System (NRS) |
Registration |
|
New Client Application Form |
Business Conduct |
|
Notice of Termination |
Registration |
|
Officers |
Registration |
|
Options Registration |
Registration |
|
Options Trading |
Business Conduct |
|
Outside Canada Firms |
Corporate Secretary |
|
Over-the-Counter Trading |
Business Conduct |
|
Panel Auditors |
Financial & Operations Compliance |
|
Partners |
Registration |
|
Priority of Client Accounts |
Business Conduct |
|
Press Release Disclosure |
Market Surveillance |
|
Pro-Trading |
Business Conduct |
|
Proficiency Requirements / Exemptions |
Registration |
|
Public Ownership of Members |
Corporate Secretary |
|
Publications |
Public Affairs |
|
PVANS |
Trade Review and Analysis |
|
Record Retention |
Business Conduct |
|
Redemption of Shares |
Financial & Operations Compliance |
|
Registered Representatives |
Registration |
|
Registration Guide |
Registration |
|
Registration of Member |
Corporate Secretary |
|
Regulatory Reporting Software Applications |
Financial & Operations Compliance |
|
Related Companies |
Financial & Operations Compliance |
|
Reorganization |
Corporate Secretary |
|
Repo Agreements |
Member Regulation Policy |
|
Resignation |
Corporate Secretary |
|
Retail Account Supervision |
Business Conduct |
|
RRSPs |
Business Conduct |
|
Rule Books |
Corporate Secretary |
|
Sales Managers |
Registration |
|
Sales Practices / Procedures |
Business Conduct |
|
Securities Borrowing and Lending |
Financial & Operations Compliance |
|
Securities Loan Agreements |
Member Regulation Policy |
|
Segregation |
Financial & Operations Compliance |
|
Settlement Agreements |
Enforcement |
|
Soft Dollar Deals |
Business Conduct |
|
Software Applications (Regulatory Reporting) |
Financial & Operations Compliance |
|
Status of Members |
Registration |
|
Strip Bonds: Inquiries |
Member Regulation Policy |
|
Subordinated Loans |
Financial & Operations Compliance |
|
Suitability |
Business Conduct |
|
Supervision of Accounts |
Financial & Operations Compliance |
|
Supervision of Trading |
Trading Compliance |
|
Suspension of Members |
Enforcement |
|
Trade Delivery |
Business Conduct |
|
Trade Feed Issues (marketplaces) |
Market Surveillance |
|
Equity Trade Advice or Rulings |
Market Regulation Policy |
|
U.S. Accounts |
Business Conduct |
|
Underwriting Levies |
Financial & Operations Compliance |
|
Underwriting Rules |
Financial & Operations Compliance |
|
When-Issued Trading |
Business Conduct or Market Surveillance |