9703. Industry agreements or other arrangements

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          In respect of any industry agreements or arrangements entered into by IIROC in accordance with section 9702, a Dealer Member:

    1. must promptly pay IIROC its regular and special Canadian Investor Protection Fund assessments,

    2. must provide to the Canadian Investor Protection Fund or to IIROC all information required to assess its financial condition or Canadian Investor Protection Fund risk of loss,

    3. acknowledges and consents to the exchange of information relating to its operations, including information pertaining to its employees or Approved Persons, shareholders or any other persons permitted by law, or its client’s affairs, between IIROC and the Canadian Investor Protection Fund, in accordance with any information sharing agreements or arrangements made by them,

    4. must permit the Canadian Investor Protection Fund to conduct reviews of its operations in respect of Industry Agreement Reportable Conditions or other agreement or arrangement Reportable Conditions and shall fully cooperate with the Canadian Investor Protection Fund, and its staff and advisers, in connection with such reviews,

    5. must comply with such actions as the Canadian Investor Protection Fund may direct IIROC to take, or with such actions as Canadian Investor Protection Fund may take on behalf of IIROC as authorized.

    9704. – 9999. Reserved.

    There is no history log for this rule.

    There is no history log for this rule.