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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:
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review the Dealer Member’s policies and procedures dealing with the supervision of managed accounts, and
- recommend to senior management appropriate actions necessary to achieve compliance with IIROC requirements and securities laws, applicable to managed accounts.
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There is no history log for this rule.
There is no history log for this rule.