Canada:
IIROC Implements Trade Matching Rule Amendments
25 September 2013
Stikeman Elliott LLP
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On September 6, the Investment Industry Regulatory Organization of
Canada announced that it will be implementing, as of October 1,
2013, amendments to its Dealer Member Rules in respect
of trade related correspondence to clients and trade matching
practices. The amendments are ultimately intended to promote
compliant trade matching practices and eliminate the sending of
duplicative trade related correspondence to clients
As
we discussed in a December 2012 post, the OSC approved the amendments late last
year. For more information, see IIROC Notice 13-0231.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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