3210. Definitions

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    1. The following term has the meaning set out below when used in Rule 3200:
    2. “Client account records”

      Any information, disclosure statement or agreement the Dealer Member is required to provide to or obtain from the client in accordance with IIROC requirements or applicable laws including, but not limited to, the following:

      1. documentation supporting the conclusion that the client’s identity has been verified,
      2. documentation supporting the account appropriateness assessment,
      3. know‑your‑client information collected in accordance with IIROC requirements, and
      4. the client’s account application.

     

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