Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions

Date opened: July 11, 2019

Date closed: August 12, 2019

Status: Closed

Summary/details:

IIROC is publishing for comment proposed amendments (Proposed Amendments) to the Dealer Member Rules (DMR) that would require Dealer Members to report the following client identifiers for transactions in debt securities:

  • Legal Entity Identifier (LEI) for a client supervised as an institutional client
  • account number for a client supervised as a retail client.

The text of the Proposed Amendments is set out in Appendix A and a blackline of the changes is set out in Appendices B and C. If approved, the Proposed Amendments would be effective on October 18, 2019.

Relevant documents:
Notices about this consultation:

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