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7 Cards in this Set
- Front
- Back
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Under what circumstances will a dealer member conduct an internal investigation? |
There appears to be a breach of SRO rules. |
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How should an internal investigation be carried out? |
Discretely |
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What document protects employees who assist external investigators investigating capital markets fraud? |
The Criminal Code. |
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What is an example of one of the most common causes of an IIROC investigation? |
Unsuitable recommendations. |
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What matter would be investigated by the Montreal Exchange? |
Trading in non-agricultural derivatives. |
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When dealing with an external investigation, it is recommended that the following assistance is sought, if required: |
Legal advice. |
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Upon receipt of a search warrant from the police, how should a dealer member react immediately? |
Contact legal counsel immediately. |
