Reporting material changes to business activities guidance

21-0147
Type: Rules Notice> Notice of Implementation
Rule connection:
IIROC Rules
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IIROC is publishing guidance on the reporting material changes to business activities requirement. We are issuing this guidance to assist Dealer Members comply with subsection 2246(2) of the IIROC Rules, which requires Dealer Members to notify IIROC in writing before any material change to their business activities.

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.

Appendices

Appendix A - GN-2200-21-001 – Reporting material changes to business activities