4401. Introduction

Rule 4400 sets out the following Dealer Member requirements relating to the protection of client assets:

Part A - Safekeeping requirements
[sections 4402 through 4407]

Part B - Internal controls requirements for safeguarding cash and securities
[sections 4420 through 4433]

Part C - Insurance requirements
[sections 4450 through 4468]

Guidance/Notices

There is no history log for this rule.

Disciplinary History

There is no history log for this rule.

Jump to another section in Rule 4400

4402. Introduction

4403. Written safekeeping agreement

4404. Securities free from encumbrance

4405. Procedures to keep securities apart

4406. Identifying securities held for safekeeping in records

4407. Release of securities held in safekeeping

4420. Introduction

4421. Safeguarding client and Dealer Member cash and securities

4422. Receipt and delivery of securities

4423. Restricting access to securities

4425. Protecting securities

4426. How to handle security records

4427. Rules for counting securities

4428. Moving certificates and securities between branches

4429. Transferring securities

4430. Re-organization

4431. Handling dividends and interest

4432. Reconciling internal accounts

4450. Introduction

4451. Definitions

4452. Dealer Member must have insurance

4453. Qualified insurance carriers

4454. Foreign insurers

4455. Mail insurance

4456. Financial institution bond

4457. General minimum insurance requirement

4458. Minimum insurance requirement for certain introducing brokers

4459. Double aggregate limit

4460. Calculating minimum insurance requirement and risk adjusted capital provisions

4461. Correction of insufficient coverage

4462. Global financial institution bonds

4463. Notify IIROC of underwriter insurance termination

4464. When insurance ends due to take-over

4465. Notify IIROC of claims

4466. Board of directors review and designation

4467. Executive review

4468. Executive prompt action