3918. Supervision of shared office premises

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    1. 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: 

      1. compliance with IIROC requirements, and

      2. the client has a clear understanding of which entity they are dealing with. 

    2. A Dealer Member must have:

      1. adequate supervisory resources to implement its policies and procedures,

      2. a system for communicating IIROC requirements relating to employees and Approved Persons at the shared office premises, and 

      3. a process providing reasonable assurance that IIROC requirements relating to shared office premises are understood and implemented.

    3919. – 3924.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.