3112. Dealer Member responsibility to address conflicts of interest

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    1. The Dealer Member must consider the implications of any existing or potential material conflicts of interest between the Dealer Member and the client. 
    2. The Dealer Member must address the existing or potential material conflict of interest in a fair, equitable and transparent manner, and considering the best interests of the client or clients.
    3. Any existing or potential material conflict of interest between the Dealer Member and the client that cannot be addressed in a fair, equitable and transparent manner, and considering the best interests of the client or clients, must be avoided.
    4. The Dealer Member must adequately supervise how existing or potential material conflicts of interest between the Approved Person and the client are addressed by its Approved Persons pursuant to section 3111.

    There is no history log for this rule.

    There is no history log for this rule.