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  • MIR-4.13 MIR-4.13 Confirmation Requirements and Provision of Information to Clients

    • MIR-4.13.1

      A member shall confirm to its clients or participants the execution of a transaction, as well as the clearing, settlement and depository of securities in the manner and time prescribed by the rules of the SRO, (including the trading rules, and the clearing, settlement and depository rules of the licensed exchange and/or the licensed clearing house), as the case may be.

      Adopted January 2010

    • MIR-4.13.2

      A member shall provide its clients or participants with the periodic and ad hoc statements in the manner and time prescribed by the rules of the SRO, as the case may be.

      Adopted January 2010

    • MIR-4.13.3

      A member shall:

      (a) Make available upon request by; or
      (b) Publish in a manner that is accessible to, any investor who accesses or uses, or potential investor who may access or use, any system or services undertaken or provided by that member:
      1. All regulated activities or services of the member;
      2. All products available on the regulated activities undertaken by the member;
      3. Applicable fees and charges;
      4. Applicable margin requirements; and
      5. Any arrangement that may be in place to compensate an investor who suffers pecuniary loss as a result of these regulated activities or insolvency of the member.
      Amended: April 2013
      Adopted January 2010