Appendix A – Sample Disclosure for Consolidated Portfolio Reports

Information relevant to the Guidance Note topic as follows:

This [portfolio summary] is prepared from information received from sources we believe to be reliable. It is not an official statement of your positions at [name of Dealer Member]. Some of the positions shown in this statement may be held at other financial institutions where they are not covered by the Canadian Investor Protection Fund.

Please consult the monthly statements you receive from [name of Dealer Member] to determine which positions are eligible for protection by the Canadian Investor Protection Fund, including information as to which positions are held in segregation.

If there are any discrepancies between the transactions or positions shown on the monthly statements you receive from [name of Dealer Member] and those shown in this [portfolio summary] as being transacted or held at [name of Dealer Member], please report them to [contact name or department].

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.