3103. Know-your-client

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    1. A Dealer Member must use due diligence to learn and remain informed of the essential facts concerning every client and for every order or account it accepts.
    2. Compliance with the IIROC requirements relating to know-your-client is primarily the responsibility of the Registered Representative, Portfolio Manager or Associate Portfolio Manager assigned to the client account.
    3. The responsibility in subsection 3103(2) must not be delegated to any other person.

    3104. – 3109.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.