IIROC Notice 16-0038 – Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests – Investment Industry Regulatory Organization of Canada (IIROC) Breadcrumb Home Industry Market regulation Self-regulatory organizations (SRO) IIROC rule review IIROC Notice 16-0038 – Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests – Investment Industry Regulatory Organization of Canada (IIROC) Component Menu Left Sidebar Industry Registration and compliance Innovation at the OSC Companies Investment funds and structured products Market regulation Derivatives Artificial intelligence (AI) SEDAR+ Market Regulation Document Type IIROC rule review February 25, 2016 Download document This document is only available in PDF format.
