IIROC implements trade matching rule amendments

September 19, 2013

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.

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