- 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.
- Rule 3100 is divided into the following parts:
- Part A – Business Conduct
[sections 3102 and 3103]
- Part B – Conflicts of interest
[sections 3110 through 3118]
- Part C – Best execution of client orders
[sections 3119 through 3129]