Client Focused Reforms – Proposed Guidance on Know-your-client and Suitability Determination

Date opened: June 21, 2021

Date closed: August 20, 2021

Status: Closed


We are publishing for comment proposed guidance (the Proposed Guidance) to assist Dealer Members (Dealers) in understanding and complying with IIROC’s Client Focused Reforms rule amendments relating to the know-your-client (KYC) and suitability determination requirements (the CFRs Amendments).

Notices about this consultation: