NOTICE OF REQUEST FOR COMMENT
THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
CLIENT RELATIONSHIP MODEL – PHASE 2
PERFORMANCE REPORTING AND FEE / CHARGE DISCLOSURE AMENDMENTS TO DEALER MEMBER RULE 200 AND
DEALER MEMBER FORM 1 SCHEDULED TO BECOME EFFECTIVE ON EITHER JULY 15, 2015 OR JULY 15, 2016
IIROC is republishing for further public comment revised proposed amendments to Dealer Member Rule 200 and Dealer Member Form 1 that would introduce performance reporting and fee / charge disclosure requirements effective on either July 15, 2015 or July 15, 2016.
The proposals republished today are revisions to parts of proposed amendments to certain Member Rules and Form 1 that IIROC published on December 12, 2013. The primary purpose of the earlier proposals was to adopt requirements that are substantially the same as new requirements adopted by the Canadian Securities Administrators under the “Client Relationship Model” project. IIROC subsequently adopted parts of those proposals. The parts that are now being republished for further comment have been revised to address comments from staff of the Canadian Securities Administrators.
The IIROC Notice is available on our website at http://www.osc.gov.on.ca.