Industry

PDF Version

PDF Version

OSC STAFF NOTICE OF REQUEST FOR COMMENT

CDS CLEARING AND DEPOSITORY SERVICES INC. (CDS®)

DAILY SUBSCRIPTION FEE FOR IIROC COMPLIANCE REPORTING -- REGULATION 800.49


The Ontario Securities Commission is publishing for public comment the proposed introduction of a subscription fee for a new reporting service: IIROC Compliance Reporting -- Regulation 800.49. The objective of the IIROC compliance reporting service is to assist IIROC Dealer Members in monitoring their Broker-to-Broker trade matching activities for compliance with IIROC Dealer Member Rule 800.49 and to assist them with managing related trade confirmation exemptions stipulated in IIROC Dealer Member Rule 200.1(h). The public comment period ends on September 28, 2013. A copy of the CDS notice was published on our website at http://www.osc.gov.on.ca.