3708. Internal discipline

A Dealer Member’s policies and procedures must establish procedures for any breach of IIROC requirements or any securities laws to be subject to appropriate disciplinary measures.

3709. 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

3704. Failure to report

3706. Requirement to commence an internal investigation

3707. Records of an internal investigation

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