7105. Confidentiality

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    1. Except with the express permission of the party concerned or as required by applicable laws, a Dealer Member:

      1. must ensure that its dealings with clients and counterparties are confidential,

      2. must not disclose or discuss, or request that others disclose or discuss, any client’s or counterparty’s participation in the debt securities markets or the terms of any trading or anticipated trading, and

      3. must ensure on a pre-trade basis that its own trading activities and planning strategies are kept confidential for market integrity purposes.

    2. A Dealer Member’s policies and procedures relating to debt securities must specifically address:

      1. restricting access to confidential information to the personnel that require it for their jobs,

      2. confining trading by designated personnel to restricted-access office areas, and

      3. using secure forms of communications and technology.

    3. A Dealer Member that is a Government Securities Distributor (defined in section 7202) must comply with requests for information from the Bank of Canada.

    There is no history log for this rule.

    There is no history log for this rule.