3908. Supervision records

Or jump to a Series:

    1. A Dealer Member must maintain a record of the names of Supervisors, their supervisory responsibilities and the date each Supervisor was designated.

    2. A Dealer Member must have a system in place to record the review and approval, conducted by any Supervisor that is required under IIROC requirements

    3. A Dealer Member must maintain adequate records of supervisory activity, including on-site branch reviews, compliance issues identified and the resolution of such issues. 

    4. Where supervision records are kept at a branch office, the Dealer Member must conduct periodic on-site reviews of branch office supervision and record keeping. 

    5. The records set out in section 3908 must be kept for the period set out in section 3803. 

    There is no history log for this rule.

    There is no history log for this rule.