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7113. Surveillance and reporting

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Series 7000: Debt Markets and Inter‑Dealer Bond Brokers Rules
    Rule

    1. A Dealer Member must monitor the trading and conduct of its employees and agents in the debt securities markets. 

    2. A Dealer Member must promptly report to IIROC or other authority having jurisdiction, including the Bank of Canada:

      1. any breaches of IIROC requirements, or

      2. suspicious or irregular market conduct.

    3. When requested by IIROC or the Bank of Canada (with respect to Government of Canada securities), a Dealer Member and any related company must disclose, on a confidential basis, the respective par value of each of its holdings in certain specified assets, in the form prescribed by the Bank of Canada (also known as a “Net Position Report”).  On request, a Dealer Member must also provide any other information to identify large holdings that would permit a participant to have undue influence over the debt securities markets.

    7114.  – 7199.  Reserved.

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