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3961. Responsibility of designated Supervisors for options accounts

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Series 3000: Business Conduct and Client Accounts Rules
    Rule

    1. The designated Supervisor is responsible for: 

      1. approving new options accounts, and

      2. ensuring that the handling of clients’ options account trading complies with IIROC requirements.
    Guidance/Notices

    There are no related Guidance/Notice documents available for this section.

    History

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      Jump to another section in Rule 3900
      3901. Introduction
      3904. Policies and procedures
      3905. Supervisory personnel and resources
      3906. Responsibilities of the Supervisor 
      3907. Delegation of supervisory tasks
      3908. Supervision records
      3909. Responsibilities of the Executive
      3910. Responsibilities of the Ultimate Designated Person
      3912. Responsibilities of the Chief Compliance Officer
      3913. Responsibilities of the Chief Financial Officer
      3915. Report to Dealer Member’s board of directors
      3916. Governance document
      3917. Annual supervisory review of financial and operational policies and procedures
      3918. Supervision of shared office premises
      3925. Supervision by designated persons
      3926. Account supervision policies and procedures 
      3927. Reviews of account activity
      3945. Daily and monthly trade supervision
      3946. Additional supervisory responsibilities
      3947. Supervision of new Registered Representatives and Investment Representatives
      3948. Supervision of suitability obligations
      3950. Supervisory policies and procedures for institutional client accounts
      3951. Supervision of suitability obligations
      3955. Supervision of order execution only accounts
      3960. Supervision of options accounts
      3962. Supervision of retail options accounts
      3963. Supervision of retail options account trading activity
      3964. Supervision of futures contract and futures contract options accounts
      3965. Responsibility of designated Supervisors for futures contract and futures contract options accounts
      3966. Access to Approved Persons qualified in futures contract and futures contract options
      3967. Supervision of retail futures contract and futures contract options accounts
      3968. Supervision of retail futures contract and futures contract options trading activity
      3970. Supervision for discretionary accounts
      3971. Supervision of managed accounts
      3972. Managed account committee 
      3973. Managed account review

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