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