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).
Relevant documents:
Notices about this consultation:
06/21/21
Client Focused Reforms – Proposed Guidance on Know-your-client and Suitability Determination Type: Rules Notice
Subtype: Request for Comments