9104. Examination powers

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    1. In connection with an examination, IIROC staff may, by written or electronic request, require a Regulated Person or an employee, partner, Director, officer or approved investor to:

      1. provide a written report with respect to any matter,

      2. produce for inspection any records and documents in the person’s possession or control that IIROC staff believe may be relevant to the examination, whether written, electronically stored, or recorded,

      3. provide copies of any such records and documents in the manner and form, including electronically and recorded, that IIROC staff requests, and

      4. answer questions with respect to any matter.

    2. In a request made under subsection 9104(1), IIROC staff may require production of original documents and must provide a receipt for any original documents received.  

    3. In connection with an examination, IIROC staff:

      1. may, with or without prior notice, enter the business premises of any Regulated Person during business hours,

      2. are entitled to free access to and to make and keep copies of all books of account, securities, cash, documents, bank accounts, vouchers, correspondence and records of every description that IIROC staff believe may be relevant to the examination, including by taking an image of the computer hard drives of the Regulated Person, and

      3. may remove the original of any document or record obtained under clause 9104(3)(ii), and where an original document or record is removed from the premises, IIROC staff must provide a receipt for the removed document or record.

    There is no history log for this rule.

    There is no history log for this rule.