Request for Comment - Proposed Changes to Forms and Guidance Relating to Investment in a Dealer Member
REQUEST FOR COMMENT
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
PROPOSED CHANGES TO FORMS AND GUIDANCE
RELATING TO INVESTMENT IN A DEALER MEMBER
IIROC is proposing changes to its Investor Application Form and Investor Notification Form (the proposed Forms) and updated guidance to help Dealer Members complete these forms. These changes reflect current practices, increase the efficiency of the application process and to:
- harmonize with National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and Companion Policy 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (CP 31-103);
- ensure consistency with the requirements IIROC is proposing as part of the Dealer Member Plain Language Rule Book Project (the PLR Project) (see IIROC Notice 17-0054 for more details).
A copy of the IIROC Notice and appendices is also published on our website at http://www.osc.gov.on.ca. The comment period ends on May 12, 2017.