• Introduction to Interpretations by the Council Relative to the Rules of Professional Conduct
• IC 104.1 Requirement to Co-operate
• IC 105.1 Hindrance, Inappropriate Influence and Intimidation
• IC 201.1 Maintenance of Reputation of Profession
• IC 201.4 Advocacy Services
• IC 202 Integrity and Objectivity
• IC 204.1 to 204.6 Independence
• IC 204.6 Firms to Ensure Compliance by Partners and Professional Employees
• IC 204.7 Members Acting as Trustee Under the Bankruptcy and Insolvency Act or as Liquidator Receiver or Receiver/Manager
• IC 204.8 Disclosure of Impairment of Independence - Professional Services Other than Assurance or Specified Auditing Procedures and Insolvency Engagements
• IC 204 Canada Elections Act
• IC 205 False or Misleading Documents and Oral Representations
• IC 206.1 to 206.3 Compliance with Professional Standards
• Glossary: IC 207 through 210
• IC 208 Confidentiality of Information
• IC 209 Borrowing from Clients
• IC 210 Conflict of Interest
• IC 211 Duty to Report Breach of Rules of Professional Conduct
• IC 212.1 Handling of Trust Funds and Other Property
• IC 214 Fee Quotations
• IC 215 Contingent Fees
• IC 216 Payment or Receipt of Commissions
• IC 217.1 Advertising and Promotion
• IC 217.2 Solicitation
• IC 217.3 Endorsements
• IC 218 Retention of Documentation and Working Papers
• IC 302 Communication with Predecessor
• IC 303 Cooperation with Successor
• IC 401 Practice Names
• IC 404.2 Operation of Members' Offices

Payment or Receipt of Commissions

216/1  From time to time, members may be asked by investment dealers and possibly insurance brokers to act as agents or sub-agents for the sale of securities or the placement of insurance. A member in public practice receives fees from clients for services which, in some cases, will include advice on the utilization of surplus funds and, often, counselling on insurance coverage. There is bound to be a conflict of interest between this position and that of acting as agent or sub-agent for the sale of securities or the placement of insurance. Acceptance by a practising member of a commission, finder's fee or other remuneration from third parties for such agency services would be incompatible with the principle of objectivity which is fundamental to our profession.

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