1. This Report can be used by IIROC Members to meet their obligations to file information under section 11 of the Regulations Implementing the United Nations Resolution on the Democratic People’s Republic of Korea or of the Regulations Implementing the United Nations Resolution on Iran.
2. This Report must be filed no later than the fifteenth (15th) day of each calendar month. If such day falls on a Saturday, Sunday or statutory holiday, the Report is due on the next business day. Reports must be submitted using the UN Reporting System found on the IIROC Website.
3. Members must include information from branches located outside Canada. This should be included in the "Name of other Member(s)" column in the table.
4. The term "Designated Person" has the meaning ascribed to it under Section 1 of the Regulations Implementing the United Nations Resolution on the Democratic People’s Republic of Korea or of the Regulations Implementing the United Nations Resolution on Iran.
5. This is an aggregate Report of dealings IIROC Members have with a Designated Person or Persons. Do not append personal information or account or policy information. Such information must be directed to the Royal Canadian Mounted Police and the Canadian Security Intelligence Service and if applicable, in respect of any foreign operations, foreign law enforcement officials.
6. All amounts must be stated in Canadian dollars.
   NOTE: If the original amount of the property frozen is denominated in a currency other than Canadian dollars, then the Canadian dollar equivalent should be reported using the same rate of exchange that was in effect on the date that the property was originally frozen and reported to law enforcement.
7. It is an offence under the United Nations Act to deal in property of a designated person or to otherwise contravene the Regulations Implementing the United Nations Resolution on the Democratic People’s Republic of Korea or the Regulations Implementing the United Nations Resolution on Iran. This includes the debiting of service charges and the crediting of interest, and/or, if the frozen property is a securities portfolio, the crediting of interest, dividends or other entitlements and the charging of custody fees, transaction fees or any other debits or credits to the account.
8. The Report is a consolidated Report. You must include information reported by your subsidiaries and categorize the information as shown in the table.
9. The Report is cumulative. Information reported in the previous month must continue to be reported for the current month unless the person in whose name the property is identified is no longer subject to the reporting requirements under section 11 of the Regulations Implementing the United Nations Resolution on the Democratic People’s Republic of Korea or of the Regulations Implementing the United Nations Resolution on Iran. The long form report is only to be used where the assets have been frozen AND reported to the RCMP. As noted, in #10 below, in all other situations, the simplified report (short form) should be used.
10. If there are no assets frozen, you may use the simplified reporting form to confirm this. This includes situations where you may be seeking clarification from the authorities about whether an account holder is in fact a Designated Person; in other words you may make the simplified filing where you have not made a determination that you are dealing with a Designated Person. There is no need to report numbers of accounts where you are still seeking clarification from the authorities.
11. This system is for use by IIROC Members only. Canadian Financial Institutions that are NOT IIROC Members are requested to use the appropriate reporting form issued by the province or appropriate SRO.
12. IIROC Members that have subsidiaries may file a joint Report for any or all such entities, PROVIDED that the names of all the filing entities are listed in the space provided or in an appendix to the Report. If the Member subsidiaries have other subsidiaries, information on their holdings of frozen assets must be included.
13. All amounts and numbers provided must be entered in the table. Appendices that refer to additional information are not acceptable unless they provide clarifying information relating to data in the table.
14. The "Reporting Month" is the month on which the report was based (e.g. for the report due on December 15th, the reporting month would be November).

For assistance please email UNReports@iiroc.ca .