Request for Comment – Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions – Investment Industry Regulatory Organization of Canada (IIROC)

IIROC rule review

 
IIROC is publishing for public comment proposed amendments respecting Client Identifiers for Reportable Debt Transactions (“Proposed Amendments”). The Proposed Amendments would change the reporting requirements for debt securities as published in the Amendments Respecting Client Identifiers on April 18, 2019 by requiring Dealer Members to report the following client identifiers for transactions in debt securities:

  • Legal Entity Identifier for a client supervised as an institutional client
  • account number for a client supervised as a retail client.

A copy of the IIROC Notice, including the text of the Proposed Amendments, is published on our website at www.osc.gov.on.ca. The comment period ends on August 12, 2019.