3918. Supervision of shared office premises

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.