3101. Introduction

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    1. Rule 3100 sets out a Dealer Member’s obligations with respect to their dealings with their clients. The requirements are intended to underpin IIROC’s objectives of maintaining investor confidence in securities markets and reinforcing a Dealer Member’s responsibility to observe high standards of ethics and conduct in their dealings with clients. 
    2. Rule 3100 is divided into the following parts:
    1. Part A – Business Conduct
      [sections 3102 and 3103]
    2. Part B – Conflicts of interest
      [sections 3110 through 3118]
    3. Part C – Best execution of client orders
      [sections 3119 through 3129]

    There is no history log for this rule.

    There is no history log for this rule.