1405. Evidence of compliance with the IIROC requirements

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    1. A Dealer Member must establish a compliance system for monitoring compliance with IIROC requirements and securities laws. The compliance monitoring systems must specifically address preventing and detecting violations and include procedures for reporting the results of compliance monitoring to management. 
    2. A Dealer Member must keep all records and evidence of its compliance with IIROC requirements that it produces, including supervisory reviews, reports and queries on compliance.
    3. IIROC may require a Dealer Member to provide it with evidence, satisfactory to IIROC, of the Dealer Member’s compliance with IIROC requirements.

    There is no history log for this rule.