Alert:
For more information on the cybersecurity incident, please visit the cybersecurity incident page.
Client Focused Reforms – Proposed Guidance on Know-your-client and Suitability Determination
Summary/details:
We are publishing for comment proposed guidance (the Proposed Guidance) to assist Dealer Members (Dealers) in understanding and complying with IIROC’s Client Focused Reforms rule amendments relating to the know-your-client (KYC) and suitability determination requirements (the CFRs Amendments).
Relevant documents:
Date opened: June 21, 2021
Comments Due By: August 20, 2021
Status: Closed
Bulletins about this consultation:
Client Focused Reforms – Proposed Guidance on Know-your-client and Suitability Determination
Type: Rules Bulletin >
Request for Comments
Welcome to CIRO.ca!
You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.