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ADVISORNOTICES
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investmentdealers and trading
RULE BOOK - IIROCPROPOSED POLICYREGISTRATION & MEMBERSHIPUNIVERSAL MARKET INTEGRITY RULES (UMIR) The IIROC Rule Book is made up of Dealer Member Rules; Universal Market Integrity Rules (UMIR); the Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) and the Transition Rule. Additional supporting resources such as various forms, regulatory documents and agreements are also included in the linksbelow.
WEBCAST CATALOGUE AND PROGRAM DETAILS Program details. February 3, 2021. New Webcast: Trading Conduct, Business Conduct and Financial Operations Compliance, followed by an Enforcement Update. Compliance continuing education credit: 2.25. Program details. December 23, 2020. New Webcast: Conversation with the Quebec Minister of Finance and the IIROC Priorities Panel. CUSTODIAL AGREEMENTS Title: Custodial Agreements - April 30, 2021 Author: Nellie Gomes Keywords: Custodial Agreements - April 30, 2021 Created Date: 5/4/20217:30:16 AM
CLIENT IDENTIFIERS
On April 15, 2019, the applicable securities regulatory authorities approved amendments (Amendments) to the Universal Market Integrity Rules and the Dealer Member Rules to include client identifiers and/or certain designations on: each order for a listed security that is sent to a marketplace; each reportable trade in a debt security. IIROC Notices regarding the Amendments Respecting Client INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)CONTINUING EDUCATIONDEALERS WE REGULATECONTACT USKNOW YOURADVISORNOTICES
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investmentdealers and trading
RULE BOOK - IIROCPROPOSED POLICYREGISTRATION & MEMBERSHIPUNIVERSAL MARKET INTEGRITY RULES (UMIR) The IIROC Rule Book is made up of Dealer Member Rules; Universal Market Integrity Rules (UMIR); the Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) and the Transition Rule. Additional supporting resources such as various forms, regulatory documents and agreements are also included in the linksbelow.
WEBCAST CATALOGUE AND PROGRAM DETAILS Program details. February 3, 2021. New Webcast: Trading Conduct, Business Conduct and Financial Operations Compliance, followed by an Enforcement Update. Compliance continuing education credit: 2.25. Program details. December 23, 2020. New Webcast: Conversation with the Quebec Minister of Finance and the IIROC Priorities Panel. CUSTODIAL AGREEMENTS Title: Custodial Agreements - April 30, 2021 Author: Nellie Gomes Keywords: Custodial Agreements - April 30, 2021 Created Date: 5/4/20217:30:16 AM
CLIENT IDENTIFIERS
On April 15, 2019, the applicable securities regulatory authorities approved amendments (Amendments) to the Universal Market Integrity Rules and the Dealer Member Rules to include client identifiers and/or certain designations on: each order for a listed security that is sent to a marketplace; each reportable trade in a debt security. IIROC Notices regarding the Amendments Respecting Client WEBCAST CATALOGUE AND PROGRAM DETAILS Program details. February 3, 2021. New Webcast: Trading Conduct, Business Conduct and Financial Operations Compliance, followed by an Enforcement Update. Compliance continuing education credit: 2.25. Program details. December 23, 2020. New Webcast: Conversation with the Quebec Minister of Finance and the IIROC Priorities Panel. LOG IN - IIROC SERVICES Forgot your password? Copyright © 2021 Investment Industry Regulatory Organization of Canada. IIROC DEALER MEMBERS BY PEER GROUP List of IIROC Dealer Members by Peer Group September 2020 1 INTEGRATED 3 RETAIL ‐ TYPE 1 & 2 INTRODUCERS 5 ORDER EXECUTION ONLY BMO Nesbitt Burns Inc.* Argosy Securities Inc. (formerly Discount Brokers) CIBC World Markets Inc. * Brant Securities Limited AGF Securities (Canada)Limited
COVID-19 RELATED EXEMPTIVE RELIEF APPLICATIONS RECEIVED Since announcing the availability of the exemptive relief, as of May 31 , 2021, IIROC has . received 233 applications from 75 Dealer Members from all regions, representing a range of firm sizes andbusiness
CONTINUING EDUCATION To help registered and approved individuals remain current, we introduced a mandatory Continuing Education (CE) program for Member firms. The CE program first operated on three-year cycles and all registrants were on the same schedule. The first cycle began on KNOW YOUR ADVISOR: IIROC ADVISORREPORT IIROC’s starting place for investors to make informed decisions. Research the background, qualifications and disciplinary information on advisors at IIROC-regulated firms by generating an IIROCAdvisorReport.
MARKET VOLATILITY CONTROLS Real-time surveillance provides IIROC with the ability to intervene in the market – including trading halts and varying or cancellingtrades.
CANADIAN BANKERS’ ACCEPTANCE (BA) RATES Canadian Bankers’ Acceptance (BA) Rates. In January 2019 the Investment Industry Regulatory Organization of Canada (IIROC) began publishing transaction-based one- and three-month Bankers’ Acceptance (BA) rates. These rates are published on a delayed basis for informational purposes only and replace the BA rates formerlypublished on the
LEGAL ENTITY IDENTIFIERS Where a Legal Entity Identifier (LEI) is required under the Amendments, the client must use an LEI that is issued in accordance with standards set by the Global Legal Entity Identifiers System (GLEIF). GLEIF provides information on how to obtain an LEI, including a list of LEI issuing organizations for Canada, which can be accessedhere.
RULE 200 MINIMUM RECORDS RULE 200 MINIMUM RECORDS 200.1. For the purposes of this Rule 200: (a) “book cost” means: (i) In the case a long security position, the total amount paid for the security, INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)CONTINUING EDUCATIONDEALERS WE REGULATECONTACT USKNOW YOURADVISORNOTICES
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investmentdealers and trading
WEBCAST CATALOGUE AND PROGRAM DETAILS Program details. February 3, 2021. New Webcast: Trading Conduct, Business Conduct and Financial Operations Compliance, followed by an Enforcement Update. Compliance continuing education credit: 2.25. Program details. December 23, 2020. New Webcast: Conversation with the Quebec Minister of Finance and the IIROC Priorities Panel.RULE BOOK - IIROC
The IIROC Rule Book is made up of Dealer Member Rules; Universal Market Integrity Rules (UMIR); the Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) and the Transition Rule. Additional supporting resources such as various forms, regulatory documents and agreements are also included in the linksbelow.
CLIENT IDENTIFIERS
On April 15, 2019, the applicable securities regulatory authorities approved amendments (Amendments) to the Universal Market Integrity Rules and the Dealer Member Rules to include client identifiers and/or certain designations on: each order for a listed security that is sent to a marketplace; each reportable trade in a debt security. IIROC Notices regarding the Amendments Respecting Client HIGHLY-LIQUID-STOCKS A “highly-liquid security” is defined as a listed security or quoted security that: has traded, in total, on one or more marketplaces as reported on a consolidated market display during a 60-day period ending not earlier than 10 days prior to the commencement of the restricted period: an average of at least 100 times per trading day, and. CUSTODIAL AGREEMENTS Title: Custodial Agreements - April 30, 2021 Author: Nellie Gomes Keywords: Custodial Agreements - April 30, 2021 Created Date: 5/4/20217:30:16 AM
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)CONTINUING EDUCATIONDEALERS WE REGULATECONTACT USKNOW YOURADVISORNOTICES
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investmentdealers and trading
WEBCAST CATALOGUE AND PROGRAM DETAILS Program details. February 3, 2021. New Webcast: Trading Conduct, Business Conduct and Financial Operations Compliance, followed by an Enforcement Update. Compliance continuing education credit: 2.25. Program details. December 23, 2020. New Webcast: Conversation with the Quebec Minister of Finance and the IIROC Priorities Panel.RULE BOOK - IIROC
The IIROC Rule Book is made up of Dealer Member Rules; Universal Market Integrity Rules (UMIR); the Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) and the Transition Rule. Additional supporting resources such as various forms, regulatory documents and agreements are also included in the linksbelow.
CLIENT IDENTIFIERS
On April 15, 2019, the applicable securities regulatory authorities approved amendments (Amendments) to the Universal Market Integrity Rules and the Dealer Member Rules to include client identifiers and/or certain designations on: each order for a listed security that is sent to a marketplace; each reportable trade in a debt security. IIROC Notices regarding the Amendments Respecting Client HIGHLY-LIQUID-STOCKS A “highly-liquid security” is defined as a listed security or quoted security that: has traded, in total, on one or more marketplaces as reported on a consolidated market display during a 60-day period ending not earlier than 10 days prior to the commencement of the restricted period: an average of at least 100 times per trading day, and. CUSTODIAL AGREEMENTS Title: Custodial Agreements - April 30, 2021 Author: Nellie Gomes Keywords: Custodial Agreements - April 30, 2021 Created Date: 5/4/20217:30:16 AM
COVID-19 RELATED EXEMPTIVE RELIEF APPLICATIONS RECEIVED Since announcing the availability of the exemptive relief, as of May 31 , 2021, IIROC has . received 233 applications from 75 Dealer Members from all regions, representing a range of firm sizes andbusiness
IIROC HISTORY & FAQ
IIROC History & FAQ. IIROC was established as a non-profit corporation on June 1, 2008 through the consolidation of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS). For more information, please see the original Information Circular. CANADIAN BANKERS’ ACCEPTANCE (BA) RATES Canadian Bankers’ Acceptance (BA) Rates. In January 2019 the Investment Industry Regulatory Organization of Canada (IIROC) began publishing transaction-based one- and three-month Bankers’ Acceptance (BA) rates. These rates are published on a delayed basis for informational purposes only and replace the BA rates formerlypublished on the
DEALERS WE REGULATE
All firms and their registered representatives that are in the business of advising on or trading in securities in Canada must be members of IIROC and follow IIROC rules for business conduct, financial operations and trading practices. IIROC oversees approximately 175 firms and their 30,000 registered representatives. We refer to the firms that we regulate as IIROC Dealer Members. EMERGING DIGITAL BUSINESS MODELS AND TOOLS Emerging digital business models and tools. Changing investor needs and expectations, as well as rising cost pressures, are resulting in an expanded continuum of advice and service models that are available at different price points, and not exclusively at a low cost. Many Dealers have implemented, or are exploring, new business models. LEGAL ENTITY IDENTIFIERS Where a Legal Entity Identifier (LEI) is required under the Amendments, the client must use an LEI that is issued in accordance with standards set by the Global Legal Entity Identifiers System (GLEIF). GLEIF provides information on how to obtain an LEI, including a list of LEI issuing organizations for Canada, which can be accessedhere.
IIROC SANCTIONS ST. ALBERT INVESTMENT ADVISOR GORDON – to search and here. access all IIROC enforcement documents. * * * IIROC is the pan-Canadian self-regulatory organization that oversees all investment dealers and their JOINT CSA/IIROC STAFF NOTICE 21-329 Trading Desk . Contact: Victoria Pinnington Senior Vice-President, Market Regulation & Policy Telephone: 416.646.7231 e-mail: vpinnington@iiroc.ca UNIVERSAL MARKET INTEGRITY RULES (UMIR) 6.5 Minimum Size Requirements of Certain Orders Entered on a Marketplace. 6.6 Provision of Price Improvement by a Dark Order. Part 7 Trading in a Marketplace. 7.1 Trading Supervision Obligations. 7.2 Proficiency Obligations. 7.3 Liability for Bids, Offers and Trades. 7.4 Contract Record and Official Transaction Record. 7.5 RecordedPrices.
RULE 29 BUSINESS CONDUCT RULE 29 . BUSINESS CONDUCT . 29.1. Repealed. 29.2. During the period of distributionto the public (as that term is defined in the relevantsecurities
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)CONTINUING EDUCATIONDEALERS WE REGULATECONTACT USKNOW YOURADVISORNOTICES
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investmentdealers and trading
WEBCAST CATALOGUE AND PROGRAM DETAILS Program details. February 3, 2021. New Webcast: Trading Conduct, Business Conduct and Financial Operations Compliance, followed by an Enforcement Update. Compliance continuing education credit: 2.25. Program details. December 23, 2020. New Webcast: Conversation with the Quebec Minister of Finance and the IIROC Priorities Panel.RULE BOOK - IIROC
The IIROC Rule Book is made up of Dealer Member Rules; Universal Market Integrity Rules (UMIR); the Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) and the Transition Rule. Additional supporting resources such as various forms, regulatory documents and agreements are also included in the linksbelow.
LOG IN - IIROC SERVICES Forgot your password? Copyright © 2021 Investment Industry Regulatory Organization of Canada. HIGHLY-LIQUID-STOCKS A “highly-liquid security” is defined as a listed security or quoted security that: has traded, in total, on one or more marketplaces as reported on a consolidated market display during a 60-day period ending not earlier than 10 days prior to the commencement of the restricted period: an average of at least 100 times per trading day, and. CONTINUING EDUCATION To help registered and approved individuals remain current, we introduced a mandatory Continuing Education (CE) program for Member firms. The CE program first operated on three-year cycles and all registrants were on the same schedule. The first cycle began on EXECUTIVE MANAGEMENT: IRENE WINEL Irene Winel is responsible for the development and implementation of member regulation policy, as well as business conduct compliance and financial and operations compliance. She also leads the development of IIROC’s organizational strategy, together with the other members of IIROC’s Executive Management Team. Irene is a senior business BOND TRADE DATATRACE BOND PRICE DATATRACE BOND PRICE DATATRACE BOND DATATRACE BOND DATAFINRA TRACE CORPORATE BOND DATA The Financial Instrument Global Identifier (FIGI) is an established global standard issued under the guidelines of the Object Management Group (OMG.org, an international, non-profit standards organization). Bloomberg serves as the Registration Authority of the FIGI open data standard. The FIGI is provided free of charge to all, there are no cost recovery, licensing or redistribution restrictions. UNIVERSAL MARKET INTEGRITY RULES (UMIR) 6.5 Minimum Size Requirements of Certain Orders Entered on a Marketplace. 6.6 Provision of Price Improvement by a Dark Order. Part 7 Trading in a Marketplace. 7.1 Trading Supervision Obligations. 7.2 Proficiency Obligations. 7.3 Liability for Bids, Offers and Trades. 7.4 Contract Record and Official Transaction Record. 7.5 RecordedPrices.
SERVICE ARRANGEMENTS BETWEEN DEALER MEMBERS AND PORTFOLIO Darshna Amin Senior Policy Counsel, Member Regulation Policy 416-943-5891 damin@iiroc.ca INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)CONTINUING EDUCATIONDEALERS WE REGULATECONTACT USKNOW YOURADVISORNOTICES
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investmentdealers and trading
WEBCAST CATALOGUE AND PROGRAM DETAILS Program details. February 3, 2021. New Webcast: Trading Conduct, Business Conduct and Financial Operations Compliance, followed by an Enforcement Update. Compliance continuing education credit: 2.25. Program details. December 23, 2020. New Webcast: Conversation with the Quebec Minister of Finance and the IIROC Priorities Panel.RULE BOOK - IIROC
The IIROC Rule Book is made up of Dealer Member Rules; Universal Market Integrity Rules (UMIR); the Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) and the Transition Rule. Additional supporting resources such as various forms, regulatory documents and agreements are also included in the linksbelow.
LOG IN - IIROC SERVICES Forgot your password? Copyright © 2021 Investment Industry Regulatory Organization of Canada. HIGHLY-LIQUID-STOCKS A “highly-liquid security” is defined as a listed security or quoted security that: has traded, in total, on one or more marketplaces as reported on a consolidated market display during a 60-day period ending not earlier than 10 days prior to the commencement of the restricted period: an average of at least 100 times per trading day, and. CONTINUING EDUCATION To help registered and approved individuals remain current, we introduced a mandatory Continuing Education (CE) program for Member firms. The CE program first operated on three-year cycles and all registrants were on the same schedule. The first cycle began on EXECUTIVE MANAGEMENT: IRENE WINEL Irene Winel is responsible for the development and implementation of member regulation policy, as well as business conduct compliance and financial and operations compliance. She also leads the development of IIROC’s organizational strategy, together with the other members of IIROC’s Executive Management Team. Irene is a senior business BOND TRADE DATATRACE BOND PRICE DATATRACE BOND PRICE DATATRACE BOND DATATRACE BOND DATAFINRA TRACE CORPORATE BOND DATA The Financial Instrument Global Identifier (FIGI) is an established global standard issued under the guidelines of the Object Management Group (OMG.org, an international, non-profit standards organization). Bloomberg serves as the Registration Authority of the FIGI open data standard. The FIGI is provided free of charge to all, there are no cost recovery, licensing or redistribution restrictions. UNIVERSAL MARKET INTEGRITY RULES (UMIR) 6.5 Minimum Size Requirements of Certain Orders Entered on a Marketplace. 6.6 Provision of Price Improvement by a Dark Order. Part 7 Trading in a Marketplace. 7.1 Trading Supervision Obligations. 7.2 Proficiency Obligations. 7.3 Liability for Bids, Offers and Trades. 7.4 Contract Record and Official Transaction Record. 7.5 RecordedPrices.
SERVICE ARRANGEMENTS BETWEEN DEALER MEMBERS AND PORTFOLIO Darshna Amin Senior Policy Counsel, Member Regulation Policy 416-943-5891 damin@iiroc.caCONTACT US - IIROC
IIROC Regional Offices. Toronto - Head Office Suite 2000, 121 King Street West Toronto, Ontario, M5H 3T9 Tel: 416-364-6133 Fax: 416-364-0753 Enforcement matters fax: 416-364-2998 Complaints & Inquiries: 1-877-442-4322. Montréal 525 Viger Avenue West, Suite 601 Montréal, Quebec, H2Z 0B2 Tel: 514-878-2854 Fax: 514-878-3860 Enforcement matters fax: 514-878-6324 Complaints & Inquiries: 1 KNOW YOUR ADVISOR: IIROC ADVISORREPORT IIROC’s starting place for investors to make informed decisions. Research the background, qualifications and disciplinary information on advisors at IIROC-regulated firms by generating an IIROCAdvisorReport.
CYBERSECURITY
Cybersecurity is a key issue for Dealers and IIROC. Cybersecurity has been an important priority for IIROC for the last few years. IIROC is committed to helping firms strengthen risk management practices and increase cybersecurity preparedness. IIROC’s initiatives include self-assessment surveys, consultations with cybersecurityprofessionals
CONTINUING EDUCATION To help registered and approved individuals remain current, we introduced a mandatory Continuing Education (CE) program for Member firms. The CE program first operated on three-year cycles and all registrants were on the same schedule. The first cycle began onIIROC HISTORY & FAQ
IIROC History & FAQ. IIROC was established as a non-profit corporation on June 1, 2008 through the consolidation of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS). For more information, please see the original Information Circular. IIROC PRIORITIES FOR 2022 Irene K. Winel SVP, Member Regulation & Strategy 416-943-6933iwinel@iiroc.ca
CLIENT IDENTIFIERS
On April 15, 2019, the applicable securities regulatory authorities approved amendments (Amendments) to the Universal Market Integrity Rules and the Dealer Member Rules to include client identifiers and/or certain designations on: each order for a listed security that is sent to a marketplace; each reportable trade in a debt security. IIROC Notices regarding the Amendments Respecting ClientCHOOSING AN ADVISOR
Choosing an Advisor. . An investment advisor can help you make informed choices about the steps you can take to achieve your financial goals. The advisor will be guiding you on important decisions about your money so take time to know who you are dealing with and that he or she understands your needs. You should also ensurethat he or she is
CANADIAN BANKERS’ ACCEPTANCE (BA) RATES Canadian Bankers’ Acceptance (BA) Rates. In January 2019 the Investment Industry Regulatory Organization of Canada (IIROC) began publishing transaction-based one- and three-month Bankers’ Acceptance (BA) rates. These rates are published on a delayed basis for informational purposes only and replace the BA rates formerlypublished on the
EXECUTIVE MANAGEMENT: IRENE WINEL Irene Winel is responsible for the development and implementation of member regulation policy, as well as business conduct compliance and financial and operations compliance. She also leads the development of IIROC’s organizational strategy, together with the other members of IIROC’s Executive Management Team. Irene is a senior business Turn on more accessible mode Turn off more accessible modeContact Us
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