Client Identifiers

On April 15, 2019, the applicable securities regulatory authorities approved amendments (Amendments) to the Universal Market Integrity Rules and to then Dealer Member Rules (now Investment Dealer Partially Consolidated Rules) to include client identifiers and/or certain designations on:

• each order for a listed security that is sent to a marketplace
• each reportable trade in a debt security.

CIRO Notices regarding the Amendments Respecting Client Identifiers:

• Notice 21-0099 - Rules Notice – Guidance Note – UMIR and DMR/IIROC Rules – Use of Identifiers and Notification Requirements Respecting Certain Order Execution Only and Direct Electronic Access Clients and Advisers (May 25, 2021)
• Notice 21-0052 – Rules Notice - Technical Notice - UMIR and DMR/IIROC Rules - Implementation of Client Identifier Amendments for Listed Securities (March 18, 2021).
• Notice 20-0251 – Rules Notice - Technical Notice - UMIR and DMR/IIROC Rules - Upcoming Implementation of Client Identifier Amendments for Listed Securities (November 25, 2020).
• Notice 20-0148 – Education Notice - Client Identifiers Workshop for Listed Securities (July 7, 2020).
• Notice 20-0056 – Rules Notice - Technical Notice – UMIR and DMR – Revised Implementation of Client Identifier Amendments for Listed Securities (March 26, 2020).
• Notice 19-0179 – Rules Notice – Notice of Approval / Implementation – DMR – Amendments Respecting Client Identifiers for Reportable Debt Transactions (October 17, 2019).
• Notice 19-0160 – Rules Notice - Technical Notice – UMIR and DMR – Information on the Implementation of Client Identifier Amendments (September 6, 2019).
• Notice 19-0118 – Rules Notice – Request for Comment – DMR – Proposed Amendments Respecting Client Identifiers (July 11, 2019).
• Notice 19-0071 - Rule Notice – Notice of Approval - UMIR and DMR – Amendments Respecting Client Identifiers (April 18, 2019).
• Notice 18-0122 – Rule Notice – Request for Comments – UMIR and DMR – Publication of Proposed Provisions Respecting Client Identifiers (June 28, 2018).
• Notice 17-0109 – Rules Notice – Request for Comment – UMIR and DMR - Proposed Provisions Respecting Client Identifiers (May 14, 2017).

Client Identifiers - Information