IIROC definition

IIROC means the Investment Industry Regulatory Organization of Canada and any successor entity. “IIROC Rules” means UMIR and IIROC’s dealer member rules.

Examples of IIROC in a sentence

  • Deleted: 5 Deleted: 6 Deleted: 7 Deleted: 8These financial statements may be in the same form as those filed with IIROC.

  • All trading by Clients with the Filer in Crypto Contracts shall be done on a suitability exempt basis in accordance with IIROC rules.

  • On March 19, 2013, NSI and IIROC entered into a settlement agreement which provided for the suspension of NSI as an IIROC member.

  • Establishing appropriate policies and procedures may require registered dealers, 8 See IIROC Member Rule 35 — Introducing Broker / Carrying Broker Arrangements.registered advisers and other market participants to upgrade their systems and enhance their interoperability with others.9 2.5 Use of matching service utility — The Instrument does not require the trade-matching parties to use the facilities or services of a matching service utility to accomplish matching of trades within the prescribed timelines.

  • Dealer to dealer trades are subject to Investment Industry Regulatory Organization of Canada (IIROC) Member Rule 800.49, which providesbehalf of others is required to report and confirm trade details, not only with the counterparty to the trade, but also with the client for whom it acted or the client with whom it traded (in which case, the client would be the counterparty).


More Definitions of IIROC

IIROC means the Investment Industry Regulatory Organization of Canada; “interface registration” means a registration described in section 3.3 of this policy; “MI 11-102” means Multilateral Instrument 11-102 Passport System;
IIROC means the Investment Industry Regulatory Organization of Canada; “interim period” has the same meaning as in NI 51-102;
IIROC means the Investment Industry Regulatory Organization of Canada or any successor organization.
IIROC means the Investment Industry Regulatory Organization of Canada; “IIROC provision” means a by-law, rule, regulation or policy of IIROC named in