3112. Dealer Member responsibility to address conflicts of interest

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    1. A Dealer Member must address all material conflicts of interest between the Dealer Member and the client, including each Approved Person acting on its behalf, in the best interest of the client. 
    2. Dealer Member must avoid any material conflict of interest between the client and the Dealer Member, including each Approved Person acting on its behalf, if the conflict is not, or cannot be otherwise addressed in the best interest of the client.
    3. A Dealer Member must adequately supervise how all material conflicts of interest between the client and the Approved Person 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.