The applicable securities regulatory authorities have approved amendments to IIROC Dealer Member Rules, setting out, among other things, requirements for Dealer Members to disclose that they are regulated by IIROC.
The amendments were last published for comment on November 5, 2015 in IIROC Rules Notice 15-0248 - Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member (Notice 15-0248). All relevant background information, including the objectives and publication history of the amendments, is set out in Notice 15-0248.
We received nine comment letters in response to Notice 15-0248. Attachment E to this Notice provides a summary of the comments we received and our responses. We have not made any revisions to the amendments, as set out in Notice 15-0248, as a result of these comments.
Attached are the final amendments and accompanying attachments. There have been no revisions to any of these attachments from those previously published in Notice 15-0248.
Attachment A - Amendments to Dealer Member Rules 700, 22, 29.14 and 29.28
Attachment B - IIROC Membership Disclosure Policy
Attachment C - CIPF Disclosure Policy
Attachment D - CIPF Supplemental Guide to the CIPF Disclosure Policy
Attachment E - Comments received in response to Notice 12-0258 and IIROC’s responses
It should be noted that Attachment B – IIROC Membership Disclosure Policy has been updated to include an additional contact telephone number for IIROC.
The amendments will be effective on January 1, 2017, other than the requirement relating to the inclusion of the IIROC Logo on client account statements, as set out in section 3 of the IIROC Membership Disclosure Policy, which will be effective on July 1, 2018.
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