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Dealer Notices
Dealer-Notices1
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Release Date
Title
1/13/2020
Guidance Review Project - Group 1
1/13/2020
List of floating and tracking error margin rates for qualifying Canadian and U.S. index products
1/3/2020
Custodial Agreements - December 31, 2019
12/20/2019
IIROC Compliance Report: Helping Firms With Compliance
12/19/2019
Withdrawal of amendments to Dealer Member Rules and Form 1 relating to the futures market segregation and portability customer-protection regime
12/19/2019
Guidance on IIROC’s Continuing Education Program
12/19/2019
Late Filing Fee for Continuing Education Reporting
12/19/2019
Continuing Education Rule Amendments
12/17/2019
Electronic client complaint record retention
12/17/2019
Helping IIROC Dealer Members with Compliance – Role of Guidance
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