-
A Dealer Member must participate in an ombudsman service approved by the Board.
-
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.
-
On a client's request, any dispute between a Dealer Member and the client must be submitted to the approved ombudsman service.
-
The eligibility of a dispute for review is made by the ombudsman service based on its terms of reference.
-
A Dealer Member must comply with the ombudsman service’s requirements.
-
The ombudsman's recommendations are non-binding on each participant in the service.
There is no history log for this rule.
There is no history log for this rule.