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13 Cards in this Set
- Front
- Back
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What does IIROC Rule 2500 cover
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Minimum Standards for Retail Account Supervision, controls must be placed on transactions
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What does IIROC Rule 2700 cover
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Minimum Standards for Institutional Account Opening, Operation and Supervision
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What does IIROC Universal Market Integrity Rules (UMIR) - Part 7 cover
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Trading Supervision Obligations
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What does IIROC Rule 2600 cover
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Internal controls
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What does IIROC Rule 17 require
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all dealer members to establish and maintain adequate internal controls
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What does IIROC Rule 29.27 require
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dealer member’s supervisory system to be “reasonably designed” to achieve compliance with applicable securities regulations
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What does IIROC Notice 09-0370 relate to
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sets out best practices for branch office supervision
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IIROC Rule 3200 address what?
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Minimum Requirements for Members Seeking Approval under Rule 1300.1(s) for Suitability Relief for Trades not Recommended by the Member
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What does IIROC Rule 29.13 prohibit?
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pre-marketing of bought deals and requires that dealer members underwriting bought deals file a Certificate with IIROC certifying that no premarketing has occurred.
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IIROC Rule 3400 address what?
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sets out the standards that analysts must follow when publishing research reports or making recommendations and it also addresses conflicts of interest
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UMIR Rule and Policy 10.16 refers to what?
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Gatekeeper Obligations of Directors, Officers and Employees of Participants and Access Persons specifies that Participants and their employees must act as gatekeepers in relation to a list of enumerated improper activities.
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UMIR Policy 7.1 refers to what?
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Trading Supervision Obligations requires that a supervisory system consist of both preventive and detective policies and procedures
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IIROC Rule 29.7 (2) requires what?
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that firms have written policies and procedures, approved by IIROC, regarding the review and supervision of advertising, sales literature and correspondence relating to its business
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