| Canadian Investment Regulatory Organization

Client excess margin adjustment to amount loaned for purposes of determining concentration exposures

IDPC Rules

Technical

February 27, 2024

Division

Investment Dealer

TD Investment Services Inc.

Read more about TD Investment Services Inc.

Proposed rule amendments — Fully paid securities lending and financing arrangements

Read more about Proposed rule amendments — Fully paid securities lending and financing arrangements

The Canadian Investment Regulatory Organization (CIRO) is publishing for comment proposed amendments to the Investment Dealer and Partially Consolidated (IDPC) Rules and IDPC Form 1 (Form 1) relating to fully paid securities lending and financing arrangements (Proposed Amendments).

The Proposed Amendments:

Exemptions Granted by the CIRO Board of Directors – Insurance and Custody Exemptions Relating to Crypto Asset Trading

Exemptions

February 14, 2024

Housekeeping amendments related to the auditor’s report and agreed-upon procedures report

IDPC Rules

MFDR

Approval/Implementation

Subscribe to

Welcome to CIRO.ca!

You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

Client excess margin adjustment to amount loaned for purposes of determining concentration exposures

Schedule 9 of Form 1, Concentration of Securities Guidance

IN THE MATTER OF Andrew Kazina – Adjournment

Amendments regarding margin requirements for structured products

EquiLend Canada Corp.

2023 Cybersecurity Table-top Exercise and Ransomware Response Playbook

TD Investment Services Inc.

Proposed rule amendments — Fully paid securities lending and financing arrangements

Exemptions Granted by the CIRO Board of Directors – Insurance and Custody Exemptions Relating to Crypto Asset Trading

Housekeeping amendments related to the auditor’s report and agreed-upon procedures report