3910. Responsibilities of the Ultimate Designated Person

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    1. The Ultimate Designated Person is responsible to IIROC for the conduct of the Dealer Member and the supervision of its employees and Approved Persons.

    2. The Ultimate Designated Person must: 

      1. supervise the activities of the Dealer Member, and the activities of each individual acting on the Dealer Member’s behalf,  that are directed towards ensuring compliance with IIROC requirements and securities laws, and

      2. promote compliance by the Dealer Member, and each individual acting on its behalf, with IIROC requirements and securities laws.

    3911. Reserved.

    There is no history log for this rule.

    There is no history log for this rule.