IIROC proposal would allow firms to provide unaudited summary statements of financial position

July 10, 2014

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.

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