-
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.
-
The person in subsection 9504(1) must submit the information requested in the form and manner, including electronic, as prescribed by the ombudsman service.
-
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:
-
the Dealer Member provided information to the ombudsman service it knew was false and intended to mislead the ombudsman, or
-
the Dealer Member failed to provide information as required by section 9504.
-
9505. –9699. Reserved.
There is no history log for this rule.