This agreement is a custody agreement between a custodian and a Dealer Member outlining the terms upon which the Dealer Member's inventory and customer securities are deposited with the custodian. It includes provisions to prevent the custodian from using or disposing of the securities without the prior written consent of the Dealer Member and to allow for the prompt delivery of the securities to the Dealer Member on demand. A Dealer Member is required to execute this agreement with the custodian in order for the custodian to qualify as an "acceptable securities location" as defined in Form 1. Capital requirements are imposed on a Dealer Member for keeping securities at a non-acceptable securities location and those capital requirements are set out in the notes and instructions to Statement B of Form 1.
Welcome to CIRO.ca!
We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.