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Opening Your Retail Account

Opening your Retail AccountWhat your investment dealer needs from you - and why Protecting Investors and Fostering Fair andEfficient Capital Markets across IIROCThe Investment Industry Regulatory Organization of Canada (IIROC)regulates all investment dealers in Canada. We set high qualityregulatory and investment industry standards to protect investors andstrengthen market integrity. We monitor and enforce rules regardingthe proficiency, business, trading and financial conduct of these firms andtheir your investment dealer needs from you and whyTo open an Account , you and your advisor will complete an Account application together.

Opening Your Retail Account What your investment dealer needs from you - and why Protecting Investors and Fostering Fair and Efficient Capital Markets across Canada.

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RULE 300 AUDIT REQUIREMENTS

www.iiroc.ca

RULE 300 . AUDIT REQUIREMENTS . 300.1. The audit under Rule 16 shall be conducted in accordance with generally accepted auditing standards and shall include a review of the accounting system, the internal accounting and control

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RULE 1 INTERPRETATION AND EFFECT

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RULE 1 . INTERPRETATION AND EFFECT . 1.1. In these . Rules unless the context otherwise requires, the expression: “ Affiliate ” or “ Affiliated Corporation

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RULE 2900 PROFICIENCY AND EDUCATION: PART I …

www.iiroc.ca

RULE 2900 . PROFICIENCY AND EDUCATION: PART I – PROFICIENCY REQUIREMENTS . INTRODUCTION . This Part I outlines the proficiency requirements for Approved Persons.

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RULE 200 MINIMUM RECORDS - Investment …

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(c) “market value” of a security means: (i) For securities, precious metals bullion and commodity futures contracts quoted on an active market, the published price quotation using:

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Rule 2600 - Internal Control Policy Statements

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RULE 2600 INTERNAL CONTROL POLICY STATEMENTS TABLE OF CONTENTS POLICY STATEMENT Statement 1 - General Matters Statement 2 - Capital Adequacy Statement 3 - Insurance

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Revised on March 25, 2009: Best practices for …

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This guidance is based on a similar notice issued by the Financial Industry Regulatory Authority (“FINRA”) in April 2005 and findings from …

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Cybersecurity Best Practices Guide For IIROC Dealer Members 2 Table of Contents Executive Summary .....3

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List of IIROC Dealer Members by Peer Group …

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Goldman Sachs Canada Inc.* HSBC Securities (Canada) Inc.* Instinet Canada Limited* ITG Canada Corp.* J.P. Morgan Securities Canada Inc.* Jefferies Securities, Inc.

  Group, Goldman sachs, Goldman, Sachs

Rule 3100 - Reporting and Recordkeeping …

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RULE 3100 REPORTING AND RECORDKEEPING REQUIREMENTS Introduction This Rule establishes minimum requirements concerning information that registrants are required

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RULE 100 MARGIN REQUIREMENTS

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RULE 100 . MARGIN REQUIREMENTS . 100.1. In this Rule 100 and, unless the contrary is specified, in each Rule, Ruling or Form of the Corporation, each term used which is not defined herein or therein, but is defined or used in Form 1

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