3972. Managed account committee 

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    1. A Dealer Member that has managed accounts must establish a managed account committee that includes at least one designated Supervisor responsible for managed accounts and the Chief Compliance Officer.  The committee must, at least annually:

      1. review the Dealer Member’s policies and procedures dealing with the supervision of managed accounts, and

      2. recommend to senior management appropriate actions necessary to achieve compliance with IIROC requirements and securities laws, applicable to managed accounts.

    There is no history log for this rule.

    There is no history log for this rule.