1403. Applicability

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    1. For purposes of IIROC requirements:
      1. Dealer Members are responsible for all acts and omissions of their employees, partners, Directors and officers, and
      2. non-Dealer Member users and subscribers to a Marketplace for which IIROC is the regulation services provider are responsible for all acts and omissions of their employees, partners, directors, and officers. 
    2. In addition to complying with all IIROC requirements:
      1. an Approved Person must avoid any act or omission that would cause his or her Dealer Member to violate any IIROC requirements, and
      2. an employee, partner, director or officer of a non‑Dealer Member user or subscriber of a Marketplace for which IIROC is the regulation services provider must avoid any act or omission that would cause the user or subscriber to violate any IIROC requirements.
    3. For purposes of section 1402, the obligation of Regulated Persons that are non‑Dealer Member users or subscribers of a Marketplace for which IIROC is the regulation services provider is limited to the obligation to transact business openly and fairly when trading on a Marketplace or otherwise dealing in securities that are eligible to be traded on a Marketplace.

    There is no history log for this rule.

    There is no history log for this rule.