Search

3706. Requirement to commence an internal investigation

Or jump to a Series:

Series 3000: Business Conduct and Client Accounts Rules
    Rule

    1. A Dealer Member must conduct an internal investigation if it appears that the Dealer Member or a current or former Approved Person while employed by the Dealer Member engaged in any of the following types of activities in any jurisdiction inside or outside of Canada: 

      1. theft,

      2. fraud

      3. misappropriation of funds or securities, 

      4. forgery, 
      5. money laundering,
      6. market manipulation,
      7. insider trading,
      8. misrepresentation, or
      9. unauthorized trading.
    2. For the purpose of clause 3706(1)(viii), a misrepresentation means:
      1. an untrue statement of facts, or
      2. an omission to state a fact that is required to be stated or that is necessary to make a statement not misleading in light of the circumstances in which it was made.
    Guidance/Notices

    There are no related Guidance/Notice documents available for this section.

    History

    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

      Select a Series