Search

4401. Introduction

Or jump to a Series:

Series 4000: Dealer Member Financial and Operational Rules
    Rule

    1. 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
    History

    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
      4424. Clearing
      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
      4433. Cash
      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

      Select a Series