4856. Delivering Dealer Member — response to request for transfer

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    1. When it receives the request for transfer, the delivering Dealer Member must either:

      1. deliver to the receiving Dealer Member, by the specified return date, the asset list for the client account being transferred, or

      2. reject the request for transfer if the client account information is unknown to the delivering Dealer Member or is incomplete or incorrect.

    2. The return date in clause 4856(1)(i) must be no later than two clearing days after the date that the delivering Dealer Member received the request for transfer.

    There is no history log for this rule.

    There is no history log for this rule.