1502. Responsibility for significant areas of risk

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    1. 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.
    2. The Dealer Member must document and maintain a list of Executives and the significant areas of risk each Executive is responsible for managing.
    3. Executives are responsible for the review and approval of any policies and procedures relating to their significant area of risk.

    1503. – 1999.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.