Request for Comment – Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

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 The comment period ends on November 18, 2019.