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GN-3100-21-001 - Client Relationship ModelGN-3100-21-002 - Mutual Fund Sales IncentivesGN-3100-21-003 - Guidance on Best ExecutionGN-3100-21-004 - Guidance on fair pricing of over-the-counter securitiesGN-3100-21-005 - Customer Accounts “in trust”GN-3100-21-006 - Managing Conflicts of Interest arising from Soliciting Dealer ArrangementsGN-3100-21-007 - Recommendations and best practices for distribution of non-arm’s length investment productsGN-3200-21-002 - Guidance Respecting Order Execution Only Accounts as a Form of Third-Party Electronic Access to MarketplacesGN-3200-21-006 - Use of Identifiers and Notification Requirements Respecting Certain Order Execution Only and Direct Electronic Access Clients and AdvisersGN-3200-22-001 - Guidance on Borrowing for Investment PurposesGN-3200-22-002 - Futures segregation and portability customer protection regime guidanceGN-3200-23-001 - Investment Dealer Anti-Money Laundering Compliance GuidanceGN-3300-21-001 - Product Due Diligence and Know-Your-ProductGN-3400-21-001 - Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded FundsGN-3400-21-002 - Minimum Standards for Institutional Account Opening, Operations and SupervisionGN-3400-21-003 - Guidance on order execution only account services and activitiesGN-3400-21-004 - Know-your-client and suitability determination for retail clientsGN-3500-21-001 - Guidelines for Confidential Information ContainmentGN-3500-21-002 - Guidance on Client Priority for Private PlacementsGN-3500-21-003 - Pre-Marketing of DistributionsGN-3500-21-004 - Risk Disclosure Statement for Futures and OptionsGN-3500-21-005 - Guidance respecting underwriter due diligenceGN-3600-20-001 - Research Report Disclosures and Best PracticesGN-3600-21-002 - Review of Advertisements, Sales Literature and CorrespondenceGN-3700-21-001 - Releases Entered Into Between Dealer Members & Clients and Confidentiality RestrictionsGN-3700-21-002 - Electronic client complaint record retentionGN-3700-21-003 - Complying with requirements regarding the Ombudsman for Banking Services and Investments (OBSI)GN-3700-21-004 - Recognition of contingent loss arising from litigationGN-3700-22-001 - Compliance with IIROC’s Cybersecurity Incident Reporting RequirementsGN-3800-20-001 - Content of Books and RecordsGN-3800-21-001 - Pledge of Member’s client securitiesGN-3800-21-002 - Processing of segregated fund contractsGN-3800-21-003 - Guidance on Marketplace and Average Price Disclosure for Trade ConfirmationsGN-3800-21-004 - Consolidated statementsGN-3800-21-006 - Off-book transactionsGN-3800-21-007 - Trade matching and trade confirmation suppression practicesGN-3800-21-008 - Service arrangements between Dealer Members and Portfolio ManagersGN-3800-21-009 - Average price accounts – margin requirementsGN-3800-21-010 - Client Relationship Model ("CRM") - Frequently Asked QuestionsGN-3900-20-001 - Account Supervision GuidanceGN-3900-21-001 - Order Execution Only Dealers and the use of automation in the account opening approval processGN-3900-21-002 - Best Practices for Head Office Supervision of Business LocationsGN-3900-21-003 - Principal Protected Notes Compliance ReviewGN-3900-21-005 - Unilateral Mutual Fund SubstitutionsMR0187 – Policy 8 and ComSet Reporting Requirements (will be updated as part of a separate project)Notice 09-0363 – Client Complaint Handling Rule and Guidance Note (will be updated as part of a separate project)Notice 16-0068 – Managing Conflicts in the Best Interest of the Client (under consideration for future update)Notice 16-0297 – Managing Conflicts in the Best Interest of the Client – Status Update (under consideration for future update)Notice 17-0093 – Managing Conflicts in the Best Interest of the Client – Compensation-related Conflicts Review (under consideration for future update)Notice 19-0051 – E-Signatures (will be updated as part of a separate project)MR0162 – Policy 8 – Information Regarding Reporting (will be updated as part of a separate project)
GN-5200-21-001 - Government of Canada – Real Return BondsGN-5200-21-002 - Margin requirements for synthetic and reconstituted Government of Canada BondsGN-5300-21-001 - Loan value granted to significant security positions held in Dealer Member and client accountsGN-5400-21-002 - Interest rate swapsGN-5400-23-001 - Margin treatment of unhedged foreign exchange positions held in client accountsGN-5600-21-001 - Capital and margin requirements for special warrants, subscription receipts and restricted securitiesGN-5700-21-001 - Margin requirements for cryptocurrency futures contractsGN-5700-21-002 - Acceptable structures for long condor spread and short iron condor spreadGN-5700-21-003 - Over-the-Counter (OTC) option contractsGN-5700-21-004 - Potential early exercise risk when American style options are used in a box spread strategyGN-5900-21-001 - Accounting and margin for repurchase and resale agreements
GN-9200-21-001 - IIROC Registration – The Fit and Proper Test for Approved Persons
GN-FORM1-21-001 - Amendments to Statement B and C of Form 1 – Custodial AgreementsGN-FORM1-21-002 - Capital provision for unresolved mutual fund differencesGN-FORM1-21-003 - Clarification on Schedule 14 of Form 1 and the limited recourse call loan agreementGN-FORM1-21-004 - Acceptable alternative procedures for U.S. broker reconciliations (Statement B, Form 1)GN-FORM1-22-001 - Margin treatment of registered account debit balancesGN-FORM1-24-001 - Schedule 9 of Form 1, concentration of securities
