- For each significant area of risk within a Dealer Member, the Dealer Member must assign responsibility to an appropriate Executive. For certain significant areas of risk, IIROC has assigned the responsibility to a specific Executive as set out in the IIROC requirements.
- The Dealer Member must document and maintain a list of Executives and the significant areas of risk each Executive is responsible for managing.
- Executives are responsible for the review and approval of any policies and procedures relating to their significant area of risk.
1503. – 1999. Reserved.