Custodial agreement (general)

This agreement is a custody agreement between a custodian and an Investment Dealer Member or Mutual Fund Dealer Member outlining the terms upon which the Investment Dealer Member or Mutual Fund Dealer Member’s inventory and customer securities are deposited with the custodian. It includes provisions to prevent the custodian from using or disposing of the securities without the prior written consent of the Investment Dealer Member or Mutual Fund Dealer Member and to allow for the prompt delivery of the securities to the Investment Dealer Member or Mutual Fund Dealer Member on demand. An Investment Dealer Member or Mutual Fund Dealer Member is required to execute this agreement with the custodian in order for the custodian to qualify as an "acceptable securities location" as defined in Investment Dealer Form 1 and Mutual Fund Dealer Form 1. Capital requirements are imposed on an Investment Dealer Member or Mutual Fund Dealer Member for keeping securities at a non-acceptable securities location and those capital requirements are set out in the notes and instructions to Statement B of Investment Dealer Form 1 and Statement B of Mutual Fund Dealer Form 1.

Custodial Agreement (General) - Investment Dealer Attachment (PDF)

Member/Custodian Agreement - Mutual Fund Dealer Attachment (PDF)

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
  • Hearings
  • Consultations
  • A unified member directory (Dealers We Regulate)
  • Advisor Report

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

Visit the Canadian Investment Regulatory Organization website