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A Dealer Member must report complaints, internal investigations and other matters to IIROC as required in Rule 3700.
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A Dealer Member must investigate allegations of misconduct as required in Rule 3700.
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A Dealer Member must handle all client complaints as required in Rule 3700.
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Rule 3700 is divided into the following parts:
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Part A – Reporting requirements
[sections 3702 through 3704] -
Part B – Internal investigations and internal discipline
[sections 3706 through 3708] -
Part C – Settlement agreements
[sections 3710 and 3711] -
Part D – Client complaints – Institutional Clients
[section 3715] -
Part E – Client complaints – Retail Clients
[sections 3720 through 3728] -
Part F – Legal actions
[section 3780] -
Part G – Record retention requirements
[sections 3785 and 3786]
There is no history log for this rule.