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Series 1000: Interpretation and Principles Rules

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1100: INTERPRETATION
1101. Introduction
1102. General interpretation
1103. Delegation by a Dealer Member
1104. Electronic signatures
1105. Transitional provision
1200: DEFINITIONS
1201. Definitions
1300: EXEMPTIVE POWERS OF IIROC
1301. Introduction
1302. Exemptions from the IIROC requirements
1400: STANDARDS OF CONDUCT
1401. Introduction
1402. Standards of conduct
1403. Applicability
1404. Policies and procedures
1405. Evidence of compliance with the IIROC requirements
1406. Compliance with all applicable laws
1500: MANAGING SIGNIFICANT AREAS OF RISK
1501. Introduction
1502. Responsibility for significant areas of risk