2222. Letter of resignation and supporting documents

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    1. A resigning Dealer Member must state its reasons for resigning in its resignation letter and file the following supporting documents with IIROC:

      1. audited financial statements indicating the Dealer Member has liquid assets sufficient to meet its outstanding liabilities other than subordinated loans, and

      2. a report from the Dealer Member’s auditor indicating that all client accounts and assets have been transferred to another Dealer Member or returned to the clients.

    There is no history log for this rule.

    There is no history log for this rule.