4189. Dealer Member obligations to auditor

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    1. A Dealer Member must fully disclose all material facts and issues about its business and operations that relate to the fairness of the regulatory financial statements, in a representation letter from the Dealer Member’s appropriate Executives to the Dealer Member's auditor.

    2.  A Dealer Member must provide its auditor with unrestricted access to all of the Dealer Members records.

    3. A Dealer Member must not interfere with the audit process, nor conceal, withhold, or destroy any records reasonably required for the audit.

    There is no history log for this rule.

    There is no history log for this rule.