Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC

Date opened: October 17, 2019

Date closed: November 18, 2019

Status: Closed

Summary/details:

IIROC is publishing for comment proposed amendments (Proposed Amendments) to IIROC Rule 9500 (Rule 9500) to eliminate restrictions on information IIROC can receive from its approved ombudsman service, the Ombudsman for Banking Services and Investments (OBSI).

A blackline of Rule 9500 reflecting the Proposed Amendments is set out in Appendix A. A clean version of Rule 9500 reflecting the Proposed Amendments is set out in Appendix B.

Notices about this consultation:

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.