IIROC is publishing guidance on Rule 1500 Managing significant areas of risk. The Guidance clarifies our expectations regarding how Dealer Members comply with the requirements of Rule 1500.
The Guidance will be effective on the same day as the IIROC Rules, December 31, 2021. We are publishing the Guidance now to assist Dealer Members prepare for the IIROC Rules’ implementation.
Appendix A – GN - 1500-21-001 – Managing significant areas of risk