Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC

Summary/details:

IIROC is publishing for comment proposed amendments (Proposed Amendments) to IIROC Rule 9500 (Rule 9500) to eliminate restrictions on information IIROC can receive from its approved ombudsman service, the Ombudsman for Banking Services and Investments (OBSI).

A blackline of Rule 9500 reflecting the Proposed Amendments is set out in Appendix A. A clean version of Rule 9500 reflecting the Proposed Amendments is set out in Appendix B.

Date opened: October 17, 2019

Date closed: November 18, 2019

Status: Closed

Bulletins about this consultation:

Welcome to CIRO.ca!

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

The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:

  • Enforcement
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We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.