MANAGED ACCOUNTS

3279. Persons authorized to deal with managed accounts

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    1. A Dealer Member must designate an individual authorized to deal with managed accounts who is:=

      1. a Portfolio Manager,

      2. an Associate Portfolio Manager, or

      3. a sub-advisor with whom the Dealer Member has entered into a written sub-advisor agreement.

    2. The sub-advisor in clause 3279(1)(iii) must be:

      1. registered or licensed, or operating under an exemption from registration or licensing, under securities laws of the jurisdiction in which its head office or principle place of business is located, that permits it to carry on managed account activities, or its equivalent, in such jurisdiction, and

      2. subject to legislation or regulations containing conflict of interest provisions at least equivalent to those set out in section 3280 or has entered into an agreement with the Dealer Member that it will comply with section 3280.

    There is no history log for this rule.

    There is no history log for this rule.