- Clause 3202(1)(iii) and subsection 3209(4) do not apply in respect to:
- an order execution only account,
- a direct electronic access account,
- an account maintained at a Dealer Member who is a carrying broker for that account or who only provides trade execution, clearing, settlement or custody services or a combination of these services to another Dealer Member, portfolio manager, exempt market dealer or their respective clients, for that account, or
- an account held by an institutional client.
There is no history log for this rule.
There is no history log for this rule.