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A resigning Dealer Member must state its reasons for resigning in its resignation letter and file the following supporting documents with IIROC:
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audited financial statements indicating the Dealer Member has liquid assets sufficient to meet its outstanding liabilities other than subordinated loans, and
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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.
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There is no history log for this rule.
There is no history log for this rule.