Canada:
IIROC Proposal Would Allow Firms To Provide Unaudited Summary Statements Of Financial Position
21 July 2014
Stikeman Elliott LLP
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Late last month, IIROC proposed amendments to its
Dealer Member Rules intended to allow dealers to
satisfy a client's request for a copy of the dealer's
summary statement of financial position without having to obtain an
auditor's report for that statement.
IIROC is accepting comments on its proposed amendments
until September 24. For more information, see IIROC Rules Notice
14-0157.
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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