In the table below, we lay out the reporting time frame and supporting documentation for matters IIROC Dealer Members must report to us through ComSet.
While every effort has been made to ensure the completeness and accuracy of this information, this table is not an official version. Please refer to MR0162 – Policy 8 – Information Regarding Reporting for the official version of the reporting time frames, to section 3703 of the IIROC Rules for the official version of the requirements and to Notice 11-0142 for the official version of the supporting documentation.
Reportable Matters |
Description of Reportable Matters |
Reporting time frame |
Supporting Documentation1 |
Client complaints |
any client complaint (other than a service complaint2 ) against:
|
20 business days |
|
Internal investigation commencement |
whenever a Dealer Member commences an internal investigation in accordance with section 3706. |
5 business days |
|
Internal investigation results |
the results of an internal investigation which was reporting to IIROC under clause 3703(2)(ii). |
5 business days |
|
Legal or disciplinary actions, or denial of registration or license |
actions the Dealer Member, or a current or former Approved Person, is subject to or involving:5
|
5 business days |
|
|
5 business days |
|
|
|
5 business days |
|
|
|
5 business days |
|
|
|
5 business days |
|
|
Resolutions of legal or disciplinary actions |
the resolution of any legal or disciplinary actions reported under clause 3703(2)(iv). |
5 business days |
|
Internal disciplinary actions |
internal disciplinary actions by a Dealer Member against an Approved Person resulting from:
|
5 business days |
|
- 1Information Dealer Members should attach to a ComSet event to permit IIROC to conduct more timely and efficient reviews of ComSet filings and to reduce subsequent requests for information.
- 2A service complaint by a client is one that is related to service issues and is not the subject of any domestic or foreign securities laws.
- 3These documents are to be attached upon conclusion of the ComSet event.
- 4These documents are to be attached upon conclusion of the ComSet event.
- 5This reporting requirement applies with regards to the reportable events to which the Approved Person is subject in any jurisdiction inside or outside of Canada, while employed by the Dealer Member or concerning matters that occurred while employed by the Dealer Member.