3704. Failure to report

Failure to report, as required by sections 3702 and 3703, may result in IIROC imposing an administrative fee, or other penalties that are permitted under IIROC requirements, against the Dealer Member or Approved Person.

3705. Reserved.

Guidance/Notices

There is no history log for this rule.

Disciplinary History

There is no history log for this rule.

Jump to another section in Rule 3700

3701. Introduction

3702. Reporting by an Approved Person to the Dealer Member

3703. Reporting by a Dealer Member to IIROC

3706. Requirement to commence an internal investigation

3707. Records of an internal investigation

3708. Internal discipline

3710. Entering into settlement agreements

3715. Policies and procedures

3720. Retail client complaints

3721. Application

3722. Handling client complaints

3723. Complaint policies and procedures

3724. Client access

3725. Complaint acknowledgement letter

3726. Response to client complaints

3727. Duty to assist in client complaint resolution

3728. Client complaint file

3780. Reporting legal actions

3785. Matters reported to IIROC

3786. Client complaints