3710. Entering into settlement agreements

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    1. An Approved Person must obtain the Dealer Member’s written consent before entering into any settlement agreement with a client, regardless of the form of the settlement and regardless of whether the settlement is the result of a client complaint or a finding by the Approved Person or the Dealer Member

    2. A Dealer Member must keep a record of the prior written consent in accordance with section 3803

    3. Subsection 3710(1) does not apply to settlement agreements entered into by an employee or Approved Person who is authorized by the Dealer Member to negotiate or enter into settlement agreements in the normal course of his/her duties and does not arise out of the activities involving the Approved Person.

    There is no history log for this rule.

    There is no history log for this rule.