IIROC is publishing the following updated guidance notes (the Guidance Notes):
- Guidance on investment in a Dealer Member – Notification and Approval (previously GN-2100-21-001, now GN-2100-22-001), and
- Disclosure and approval of outside activities (previously Notice 13-0163, now GN-2500-22-001).
We are updating these Guidance Notes to coincide with the implementation of housekeeping changes to the IIROC Rules relating to registration information requirements, outside activity reporting and updated filing deadlines as set out in Notice 22-0061 (the Housekeeping Amendments). The Guidance Notes will be effective on the same day as the Housekeeping Amendments, June 6, 2022.
The changes made to the Guidance Notes are also housekeeping in nature and reflect the following:
- revised filing deadlines,
- updated terminology and IIROC Rule references,
- updated references to National Instrument 33-109 Registration Information and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and
- elimination of outdated reference to a withdrawn CSA Staff Notice.
Appendix A – GN-2100-22-001– Guidance on investment in a Dealer Member
Appendix B – GN-2500-22-001 - Disclosure and approval of outside activities