NOTICE OF COMMISSION APPROVAL
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
PROPOSAL FOR AN INTEGRATED FEE MODEL
Section 4 of the terms and conditions of IIROC’s recognition requires that IIROC develop an integrated fee model and submit it for approval with the Commission. As part of this process, IIROC submitted for approval a proposal for a dealer regulation fee model on March 18, 2011 and a proposal for a market regulation fee model on May 27, 2011 (Fee Model Proposals). The recognizing regulators have approved the fee model and IIROC will implement it effective April 1, 2012.
The notices describing the Fee Model Proposals, the comments received and IIROC’s response to these comments were published on IIROC’s website (www.iiroc.ca) and can be found in the following IIROC Notices:
- IIROC Notice 10-0119 – New Dealer Regulation Fee Model (April 28, 2010);
- IIROC Notice 10-0316 – New Market Regulation Fee Model (November 30, 2010);
- IIROC Notice 11-0125 – Republication of Market Regulation Fee Model (April 14, 2011); and
- IIROC Notice 12-0043 – Approval of Integrated Fee Model.