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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