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A Dealer Member must monitor the trading and conduct of its employees and agents in the debt securities markets.
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A Dealer Member must promptly report to IIROC or other authority having jurisdiction, including the Bank of Canada:
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any breaches of IIROC requirements, or
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suspicious or irregular market conduct.
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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.
There is no history log for this rule.