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A Dealer Member must have policies and procedures that specifically address the supervision of shared office premises, as contemplated by section 2216, to provide reasonable assurance:
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compliance with IIROC requirements, and
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the client has a clear understanding of which entity they are dealing with.
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A Dealer Member must have:
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adequate supervisory resources to implement its policies and procedures,
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a system for communicating IIROC requirements relating to employees and Approved Persons at the shared office premises, and
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a process providing reasonable assurance that IIROC requirements relating to shared office premises are understood and implemented.
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3919. – 3924. Reserved.
There is no history log for this rule.
There is no history log for this rule.