Proposed Amendments respecting Reporting, Internal Investigation and Client Complaint Requirements
IIROC is proposing amendments (Proposed Amendments) to our:
- reporting and internal investigation requirements in Parts A and B of Rule 3700 (ComSet Reporting Requirements),
- client complaint handling requirements in Parts D and E of Rule 3700 (Complaint Requirements), and
- gatekeeper obligations of directors, officers and employees of Participants in UMIR Rule 10.16 (Gatekeeper Obligations).
The Proposed Amendments:
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