Proposed Amendments – IIROC Exemptions for Bulk Account Movements 

Date opened: October 8, 2020

Date closed: December 7, 2020

Status: Closed

Summary/details:

IIROC is proposing amendments to the Dealer Member Rules (DMRs) and corresponding amendments to the IIROC Dealer Member Plain Language Rule Book (IIROC Rules and, together with the DMRs, the Rules) in order to set out in the rules the authority of IIROC Staff (Staff) to grant exemptive relief to Dealer Members (Dealers) from certain client account documentation requirements (the Proposed Amendments).

Notices about this consultation: