- 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.
- 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.
- The responsibility in subsection 3103(2) must not be delegated to any other person.
3104. – 3109. Reserved.