PART B.4 - CONFIRMATION AND RECONCILIATION REQUIREMENTS

4357. Confirmations from transfer locations in Canada

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    1. If a Dealer Member has delivered securities for re‑registration to a transfer location in Canada, the Dealer Member must receive those securities within 20 business days of delivery.

    2. If a Dealer Member has not received those securities within 20 business days of delivery, it must obtain written confirmation of the position receivable from the transfer location within 45 business days of delivery.

    3. If the position remains unconfirmed after 45 business days from delivery, the transfer location is a non‑acceptable transfer location for that position, and the Dealer Member must transfer the position to its difference account.

    There is no history log for this rule.

    There is no history log for this rule.