Request for Comment - Proposed Amendment to the Risk Component of the Dealer Member Fee Model

Market Regulation Document Type
IIROC rule review

REQUEST FOR COMMENT

INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)

PROPOSED AMENDMENT TO THE RISK COMPONENT OF THE DEALER MEMBER FEE MODEL

 

IIROC is publishing for public comment proposed amendment to the Risk Component of the Dealer Member Fee Model. As an interim step and as part of the pandemic response program, IIROC set the risk component to zero for FY2021. IIROC is now proposing to make that change permanent by removing the risk component from its Dealer Member Fee Model (the Proposed Amendment). A copy of the IIROC Notice including the Proposed Amendment is also published on our website at https://www.osc.gov.on.ca. The 45 day-comment period ends on February 1, 2021