9105. Obligations of Regulated Persons and other persons

Or jump to a Series:

    1. A person who receives a request made under section 9104 must comply with the request within the time specified in it.

    2. A Regulated Person must cooperate with IIROC staff who are conducting an examination, and a Regulated Person must require its employees, partners, directors and officers to cooperate with IIROC staff conducting an examination and to comply with a request made under section 9104.

    3. A person who is aware that IIROC staff is conducting an examination must not conceal or destroy any record, document or thing that contains information that may be relevant to the examination or ask or encourage any other person to do so. 

    There is no history log for this rule.

    There is no history log for this rule.