3406. Primary responsibility and delegation

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    1. Compliance with IIROC requirements relating to suitability is primarily the responsibility of the Registered Representative, Portfolio Manager or Associate Portfolio Manager assigned to the client account. 

    2. Registered Representatives, Portfolio Managers and Associate Portfolio Managers must not delegate their responsibility for suitability assessment obligations to any other person.

    3407 - 3499.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.