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

Date opened: June 21, 2021

Date closed: August 20, 2021

Status: Closed

Summary/details:

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: