This agreement is a draft custody agreement for a non-certificated debt instrument (NCI) between a custodian and a Dealer Member. It contains the minimum terms that are required by IIROC for external segregation location arrangements in which the custodian is holding non-certificated debt instruments [e.g. Guaranteed Investment Certificates (GICs)]. However, there is a note to Dealer Members in it cautioning that additional terms may be necessary or desirable to protect a Dealer Member's interests and that the Dealer Member should consult its own advisors.
Welcome to CIRO.ca!
You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:
- Enforcement
- Hearings
- Consultations
- A unified member directory (Dealers We Regulate)
- Advisor Report
We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.