Request for Comment – Proposed Amendments Relating to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

IIROC is publishing for public comment proposed amendments to Part A of Rule 3200 of the proposed IIROC Dealer Member Plain Language Rule Book relating to client identification and verification requirements (the Proposed Amendments). The primary objective of the Proposed Amendments is to align IIROC Rules with anti-money laundering and anti-terrorist financing requirements, and with National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. A copy of the IIROC Notice including the Proposed Amendments is also published on our website at The comment period ends on August 8, 2017.