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3406. Primary responsibility and delegation

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Series 3000: Business Conduct and Client Accounts Rules
    Rule

    1. Compliance with IIROC requirements relating to suitability determination 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.

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