8104. Obligations of Regulated Persons and other persons

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    1. A person who receives a request made under section 8103 must comply with the request within the time specified in it. 

    2. If Enforcement Staff make a request under clause 8103(1)(i) or 8103(1)(iv) to a corporation, partnership or other organization, compliance with the request may be fulfilled by an employee of the corporation, partnership or organization who is acceptable to Enforcement Staff, taking into account the employee’s position and knowledge.

    3. A person must cooperate with Enforcement Staff who are conducting an investigation, and a Regulated Person must require its employees, partners, directors and officers to cooperate with Enforcement Staff conducting an investigation and to comply with a request made under section 8103.

    4. A person who is aware that Enforcement Staff are conducting an investigation must not conceal or destroy any record, document or thing that contains information that may be relevant to the investigation or to any subsequent proceeding relating to the subject matter of the investigation or ask or encourage another person to do so.

    5. A Dealer Member or any person approved by, or under the jurisdiction of, IIROC, that is requested by a Marketplace to provide information in connection with an investigation of trading of a security on that Marketplace shall submit the requested records to the Marketplace making the request in such a manner and form, including electronically, as may reasonably be prescribed by such Marketplace.

    There is no history log for this rule.

    There is no history log for this rule.