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9504. Dealer Members must provide information to ombudsman service

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Series 9000: Procedural Rules – Other
    Rule

    1. The ombudsman service may ask a Dealer Member, or an Approved Person, or other person subject to IIROC’s authority for information or records relating to a review or investigation.  

    2. The person in subsection 9504(1) must submit the information requested in the form and manner, including electronic, as prescribed by the ombudsman service.

    3. The ombudsman may not provide IIROC with any information or records of its service received relating to a review or investigation, except information relating to an IIROC investigation or hearing allegation that:

      1. the Dealer Member provided information to the ombudsman service it knew was false and intended to mislead the ombudsman, or 

      2. the Dealer Member failed to provide information as required by section 9504.

    9505. –9699. Reserved.

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