3110. Responsibility to identify conflicts of interest

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    1. Dealer Member must take reasonable steps to identify existing material conflicts of interest, and material conflicts of interest that are reasonably foreseeable:  

      1. between the Dealer Member and the client, and  

      2. between each Approved Person acting on the Dealer Member’s behalf and the client. 

    2. An Approved Person must take reasonable steps to identify existing material conflicts of interest, and material conflicts of interest that are reasonably foreseeable, between the Approved Person and the client.  

    3. If an Approved Person identifies a material conflict of interest under subsection 3110(2), the Approved Person must promptly report that conflict of interest to the Dealer Member.   

    There is no history log for this rule.

    There is no history log for this rule.