Dealer Member Rule 41 outlines obligations to CIPF

IIROC Dealer Members are required to pay Canadian Investor Protection Fund assessments through IIROC. IIROC henceforth has permission to share Dealer Member information with CIPF. CIPF has direct access to IIROC Dealer Member premises, information, and personnel and Dealer Members must comply with actions requested by CIPF.

About The Author

Felix Shipkevich

Felix Shipkevich is a Manhattan-based attorney and general counsel for Shipkevich Law Firm. He has extensive experience working with the CFTC and NFA on registration, compliance, and enforcement issues for CPOs, CTAs, FCMs, IBs, and RFEDs. Felix also practices intellectual property and corporate governance law.