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.
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.
The Canadian Investment Regulatory Organization (CIRO) is publishing for comment Phase 4 of its Rule Consolidation Project rule proposals.1 The Rule Consolidation Project will bring together the two member regulation rule sets currently applicable to investment dealers2 and to mutual fund dealers3 into one set of member regulation rules applicable to both categories of CIRO Dealer Members.4
The objective of Phase 4 of the Rule Consolidation Project (Phase 4 Proposed DC Rules) is to adopt requirements that are mostly unique to the IDPC and MFD Rules and have been assessed as having differences deemed to be significant with potential material impacts on stakeholders.5
Date opened: October 17, 2024
Date closed:
Status: Open
In this section: