3702. Reporting by an Approved Person to the Dealer Member

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    1. An Approved Person must report to the Dealer Member any of the following matters within two business days:

      1. if there is a change in the Approved Person’s registration information or Form 33‑109F4,

      2. if the Approved Person has reason to believe that he or she has or may currently be contravening any IIROC requirements, securities laws, or any applicable laws,

      3. if the Approved Person is the subject of a written client complaint, or

      4. if the Approved Person becomes aware of a client complaint, in writing or other form, about another Approved Person involving allegations of theft, fraud, misappropriation of funds or securities, forgery, money laundering, market manipulation, insider trading, misrepresentation, or unauthorized trading.

    2. An Approved Person must inform the Dealer Member of all pending legal actions against the Approved Person

    3. A Dealer Member must designate an individual or department to receive, and maintain records of, the reports required by subsection 3702(1).

    There is no history log for this rule.

    There is no history log for this rule.