IIROC and Client Identifiers Online Workshop 2

Date

Continuing Education Credit

Compliance continuing education credit: 1.5

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More Details

This workshop is geared towards technical staff at Dealer Members and their vendors. At this workshop, we will review:

  • implementation milestones leading up to the July 26, 2021 implementation date, including schedules for testing and certification
  • production rollout details for Dealer Members and marketplaces
  • encryption of client LEIs, including
    • technical specifications for encryption
    • enrollment process for Dealer Members
    • encryption key rotation process, including the delivery of encryption keys and the acknowledgement of receipt of keys by Dealer Members
    • sample encryption code.

Program Details

Back to Continuing Education

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.