Investor Alert:
CIRO is issuing a warning to Canadian investors regarding Canada Token Trade.
Effective Date: December 31, 2021
The purpose of this notice is to provide information on the filing and supervisory requirements for Dealer Member (Dealer) business locations outside of Canada.
The following requirements apply to business locations opened by the Dealer outside of Canada, with no Approved Persons and no contact with clients in Canada:
The following requirements apply to any business location opened by the Dealer outside of Canada, with Approved Persons. These individuals may be cross-registered with the Dealer and its foreign affiliate:
IIROC may require on a case-by-case basis additional information or documents.
IIROC Rules this Guidance Note relates to:
This Guidance Note replaces:
This Guidance Note was published under Notice 21-0190 - IIROC Rules, Form 1 and Guidance.