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3701. Introduction

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Series 3000: Business Conduct and Client Accounts Rules
    Rule

    1. A Dealer Member must report complaints, internal investigations and other matters to IIROC as required in Rule 3700.

    2. A Dealer Member must investigate allegations of misconduct as required in Rule 3700.

    3. A Dealer Member must handle all client complaints as required in Rule 3700.

    4. Rule 3700 is divided into the following parts:

    5. Part A – Reporting requirements
      [sections 3702 through 3704] 

    6. Part B – Internal investigations and internal discipline
      [sections 3706 through 3708]

    7. Part C – Settlement agreements
      [sections 3710 and 3711]

    8. Part D – Client complaints – Institutional Clients
      [section 3715]

    9. Part E – Client complaints – Retail Clients
      [sections 3720 through 3728]

    10. Part F – Legal actions
      [section 3780]

    11. Part G – Record retention requirements  
      [sections 3785 and 3786]

    Guidance/Notices

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    History

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    Disciplinary History
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