Investor Alert:
CIRO is issuing a warning to Canadian investors regarding Canada Token Trade.
Effective Date: December 31, 2021
IIROC is publishing guidance regarding proficiency requirements for individuals previously registered with the Securities and Futures Commission (SFC) in Hong Kong.
The guidance will discuss:
An applicant who was licensed in Hong Kong can complete the New Entrants Course1 instead of completing the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Exam (CPH), if the individual completed one of the following for registration with the SFC in Hong Kong:
In order to qualify for this relief, the applicant must have been registered in a similar capacity with the SFC in Hong Kong within three years from the date of requesting registration with IIROC. Additionally, applicants will be required to provide proof of passing of the following:2
For DPE:
or
For LE:
IIROC Rules this Guidance Note relates to:
This Guidance Note replaces the following:
This Guidance Note was published under Notice 21-0190 - IIROC Rules, Form 1 and Guidance.