The Investment Industry Regulatory Organization of Canada published proposals last week that would require its dealers to disclose their membership in IIROC. Among other things, dealers would have to display the IIROC decal at business locations to which clients have access and display the IIROC logo on client trade confirmations, account statements and on the dealer's website. According to the notice, the proposals are intended to raise public awareness of the advantages of working with IIROC-regulated firms and advisors, and help investors determine the regulatory status of firms and individuals. IIROC is accepting comments on the proposals for 60 days.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.
