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Notices and Guidance

IIROC carries out its regulatory responsibilities under Recognition Orders from the provincial and territorial securities regulatory authorities that make up the Canadian Securities Administrators (CSA). IIROC is subject to oversight and regular operational reviews by CSA members.

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| 22-0125
Housekeeping amendments to Form 1, Part II – Report on compliance for insurance, segregation of securities and guarantee/guarantor relationships relied upon to reduce margin requirements during the year
Rulebook: IIROC Rules
Notice type: Approval/Implementation
| 22-0126
List of floating and tracking error margin rates for qualifying Canadian and U.S. index products
Rulebook: IIROC Rules
Notice type: Technical
| 22-0129
IIROC to Receive Written Penalty Submissions Regarding Neil DiCostanzo
Rulebook:
Notice type: Hearing
| 22-0127
IIROC Hearing Panel Finds New Brunswick Investment Advisor Paul Maurice Liable
Rulebook:
Notice type: Decision
| 22-0128
Custodial Agreements
Rulebook: IIROC Rules
Notice type: Technical
| 22-0123
List of foreign exchange (FX) spot risk margin rates for Canadian and U.S. base currency accounts
Rulebook: IIROC Rules
Notice type: Technical
| 22-0124
List of securities eligible for reduced margin (LSERM)
Rulebook: IIROC Rules
Notice type: Technical
| 22-0122
Proposed amendments to permit reduced margin for swap position partial offsets held in inventory
Rulebook: IIROC Rules
Notice type: Request for Comments
| 22-0121
IIROC to Hear a Settlement Hearing for MD Management Limited
Rulebook:
Notice type: Hearing
| 22-0119
IN THE MATTER OF MF Global Canada Co. – Motion Decision
Rulebook:
Notice type: Decision

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