Search

9503. Participation by a Dealer Member in an ombudsman service

Or jump to a Series:

Series 9000: Procedural Rules – Other
    Rule

    1. A Dealer Member must participate in an ombudsman service approved by the Board.

    2. The participation of a Dealer Member in, or any recommendations made by, an ombudsman service, will not affect the authority of IIROC or prevent it from exercising that authority under IIROC requirements.

    3. On a client's request, any dispute between a Dealer Member and the client must be submitted to the approved ombudsman service.  

    4. The eligibility of a dispute for review is made by the ombudsman service based on its terms of reference.  

    5. A Dealer Member must comply with the ombudsman service’s requirements.  

    6. The ombudsman's recommendations are non-binding on each participant in the service.

    Guidance/Notices

    There are no related Guidance/Notice documents available for this section.

    History

    There is no history log for this rule.

    Disciplinary History
    There is no history log for this rule.
      Jump to another section in Rule 9500

      Select a Series