9103. Conducting examinations

Or jump to a Series:

    1. IIROC staff may examine the conduct, business and affairs of a Regulated Person with respect to IIROC requirements, applicable laws, or trading or advising in respect of securities, futures contracts or derivatives.

    2. IIROC staff may initiate an examination where they consider it advisable to do so.

    There is no history log for this rule.

    There is no history log for this rule.