7104. Trading personnel

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    1. A Dealer Member must ensure that all personnel trading in the debt securities markets are:

      1. properly qualified and trained, and

      2. aware of IIROC requirements and applicable laws relating to debt securities market trading.

    2. A Dealer Member must ensure that its personnel use clear and unambiguous language in their trading activities.

    3. A Dealer Member’s personnel must be familiar with the appropriate trading terminology and conventions.

    4. A Supervisor in the appropriate business group of the Dealer Member must supervise its trading activities.

    There is no history log for this rule.

    There is no history log for this rule.