Client Identifiers Workshop for Listed Securities

20-0148
Type: Education Notice
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Contact:

Dianne Weatherby
Senior Corporate Events Specialist, Public Affairs
Telephone:
Email:

The Client Identifiers Amendments for Listed Securities (Amendments) will come into effect on July 26, 2021.1

To help you understand the compliance and implementation issues associated with the Amendments, IIROC is pleased to invite you to attend an online workshop, which would be held in two parts:

  • Part 1 – Dealer Compliance on July 22, 2020 from 2:00-3:30 pm (EST)
  • Part 2 – Technical Compliance on August 26, 2020 from 2:30-4:00 pm (EST).

Part 1 – Dealer Compliance

This workshop is geared towards compliance staff at Dealer Members. At this workshop, we will review:

  • the new requirements for listed securities
  • what to include on an order in various scenarios using tools available on the Client Identifiers section of the IIROC website, such as the FIX Specifications  
  • responsibilities of the originating Dealer Member and the executing Dealer Member
  • enhancements to the Regulatory Marker Correction System.

Part 2 – Technical Compliance

This workshop is geared towards technical staff at Dealer Members and their vendors. At this workshop, we will review:

  • implementation milestones leading up to the July 26, 2021 date, including schedules for testing and certification
  • production rollout details for Dealer Members and marketplaces
  • encryption of client LEIs, including
    • technical specifications for encryption
    • enrollment process for Dealer Members
    • encryption key rotation process, including the delivery of encryption keys and the acknowledgement of receipt of keys by Dealer Members
    • sample encryption code.

Your participation in Part 1 of the Workshop will earn you 1.5 hours of IIROC Continuing Education Compliance Credits.

Registration:

To register, please click https://event-wizard.com/events/IIROCClientIdentifiers/.

Registration will close on:

  • 5pm EST on Friday July 17, 2020 for Part 1 of the Workshop, and
  • 5pm EST on Friday August 21, 2020 for Part 2 of the Workshop.

If you would like to join the event after the registration has closed, please contact Dianne Weatherby, Senior Corporate Events Specialist at [email protected]

To access all upcoming Member Education Services Events, simply subscribe to IIROC’s ePublications service at www.iiroc.ca and select the following categories: “Education Notices” and “Member Events.” ePublications is a free, self-managed system, whereby subscribers can change their selection criteria whenever and as many times as they want, making it a quick and easy way to receive information.

  • 1. IIROC Notice 20-0056 – Rules Notice - Technical Notice – UMIR and DMR – Revised Implementation of Client Identifier Amendments for Listed Securities (March 26, 2020) and IIROC Notice 19-0071 - Rule Notice – Notice of Approval - UMIR and DMR – Amendments Respecting Client Identifiers (April 18, 2019).