1404. Policies and procedures

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    1. A Dealer Member must establish, maintain and apply written policies and procedures regarding the conduct of its business activities and operations.
    2. A Dealer Member must establish, maintain and apply written policies and procedures that establish a system of controls and supervision sufficient to provide reasonable assurance the Dealer Member, its employees and Approved Persons comply with IIROC requirements. A Dealer Member may establish more stringent policies and procedures than those needed to comply with such requirements.
    3. Guidelines and best practices set out in IIROC guidance are generally intended to present acceptable methods that can be used to comply with specific IIROC requirements. Unless otherwise indicated, Dealer Members may use alternate methods, provided that those methods demonstrably achieve the overall objective of the IIROC requirements
    4. IIROC may require a Dealer Member to adopt additional or different policies and procedures if the existing policies and procedures are insufficient to comply with IIROC requirements.

    There is no history log for this rule.

    There is no history log for this rule.