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Client Identifiers Online Workshop

Date

Continuing Education Credit

Compliance continuing education credit: 1.5

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More Details

The Client Identifiers Amendments for Listed Securities will come into effect on July 26, 2021.

To help you understand the compliance and implementation issues associated with the Amendments, this webcast will cover:

  • the new requirements for listed securities;
  • what to include on an order in various scenarios using tools available on the Client Identifiers section of the IIROC website, such as the FIX Specifications;
  • responsibilities of the originating Dealer Member and the executing Dealer Member; and,
  • enhancements to the Regulatory Marker Correction System.

Program Details

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MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.

Visit the New Self-Regulatory Organization of Canada website

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