• No results found

Principal Protected Notes Compliance Review: Findings, Requirements and Recommendations. Rule Notice Guidance Note Dealer Member Rules

N/A
N/A
Protected

Academic year: 2021

Share "Principal Protected Notes Compliance Review: Findings, Requirements and Recommendations. Rule Notice Guidance Note Dealer Member Rules"

Copied!
9
0
0

Loading.... (view fulltext now)

Full text

Loading

References

Related documents

IIROC Notice 11-0349 – Rules Notice – Guidance Note – Dealer Member Rules - Guidelines for the review, supervision and retention of advertisements, sales literature and

(i) Ensure regular review of the exception reports generated to reflect amounts which exceed the loan value limits, leverage amounts and individual account concentration limits

Subsection 42.3(2) requires that all existing or potential material conflicts of interest between a Dealer Member and a client must be addressed “in a fair, equitable and

In addition, new disclosure requirements that align with the CSA Best Execution Amendments in section 3300.8 of the Proposed Rule, would require a Dealer Member to disclose the

• Privacy Rule standards address the use and disclosure of individuals’ health information?. – Protected Health

If you invest in CLPD, you are selling a put option to the Bank whereby the Bank has the right to sell, and you have the obligation to buy, the Alternate Currency at the

D120 It shall be a term of every relevant principal contract, or where the defaulter is a gilt inter dealer broker or a wholesale dealer broker, or subject to rule D195, that from

If any Locked-In Performance Determination Date has been postponed ten Business Days and the Business Day immediately succeeding such tenth Business Day is not a Trading Day, or