IIROC is publishing an updated version of GN-3200-21-001 – Borrowing for Investment Purposes – Suitability and Supervision.
This Guidance Note was originally published on October 14, 2021 with several sections shaded in grey. These sections overlapped with content in GN-3400-21-004 – Know-your-client and suitability determination for retail clients, which had only been published for comment as of October 14, 2021. We have updated the sections shaded in grey now that GN-3400-21-004 has been finalized and published. We also made additional amendments to improve the clarity of the Guidance Note.
The Guidance Note will be effective immediately.
Appendix A – GN-3200-22-001 - Guidance on Borrowing for Investment Purposes
Welcome to CIRO.ca!
We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.