Request for Comment - Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC
REQUEST FOR COMMENT
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
PROPOSED AMENDMENTS RESPECTING DISCLOSURE OF INFORMATION BY OMBUDSMAN SERVICE TO IIROC
IIROC is proposing amendments to IIROC Rule 9500 (Amendments), to eliminate restrictions on information IIROC can receive from its approved ombudsman service, the Ombudsman for Banking Services and Investments (OBSI).
The Amendments would align IIROC’s information sharing requirements with other securities regulators and eliminate any inconsistencies between IIROC Rule 9500 and the OBSI Terms of Reference.
A copy of the IIROC Notice and appendices is also published on our website at www.osc.gov.on.ca. The comment period ends on November 18, 2019.