Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
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:
Video: How to use the Decision Tree & Scenarios Chart
Check out our new Client Identifiers' video, which shows you how to use the Decision Tree and Scenarios Chart...
View "Strategy for Encryption of Client Identifiers" and "Fix Specifications"
Contact
Theodora Lam: Director, Market Regulation Policy
Tel: 416-646-7280
[email protected]
Where a Legal Entity Identifier (LEI) is required under the Amendments, the client must use an LEI that is issued in accordance with standards set by the Global Legal Entity Identifiers System (GLEIF).
GLEIF provides information on how to obtain an LEI, including a list of LEI issuing organizations for Canada, which can be accessed at: Get an LEI: Find LEI Issuing Organizations.
GLEIF also maintains a publicly searchable database of all issued LEIs.
Debt Securities:
Listed Securities:
Listed and Debt Securities: