Transcription of Rule 2600 - Internal Control Policy Statements
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Rule 2600 - Internal Control Policy Statements
RULE 2600 internal control policy statements TABLE OF CONTENTS Policy STATEMENT Statement 1 - General Matters Statement 2 - Capital Adequacy Statement 3 - Insurance Statement 4 - Segregation of Clients' Securities Statement 5 - Safekeeping of Clients' Securities Statement 6 - Safeguarding of Securities and Cash Statement 7- Pricing of Securities Statement 8 - Derivative Risk Management INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA Internal Control Policy STATEMENT 1 GENERAL MATTERS This Policy statement is one in a series that prescribes requirements for and provides guidance on compliance with Rule that states "every Dealer Member shall establish and maintain adequate Internal controls in accordance with the Internal Control Policy Statements in Rule 2600." Internal Control is defined as follows: " Internal Control consists of the policies and procedures established and maintained by management to assist in achieving its objective of ensuring, as far as practical, the orderly and efficient conduct of the entity's business.
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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