Canada:
IIROC Announces Changes To Comset Reporting Requirements
12 May 2011
Stikeman Elliott LLP
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On May 2, the Investment Industry Regulatory
Organization of Canada (IIROC) announced that it was making
changes to Complaints and Settlement Reporting
(ComSet) reporting requirements. Specifically, IIROC will require
members, as of June 1, to attach relevant supporting documentation
at the time of entering a ComSet event. According to IIROC, the
additional documentation will allow it to "conduct more timely
and efficient initial reviews of ComSet filings" and result in
fewer subsequent information requests. For more information, see IIROC Notice
11-0142.
The content of this article is intended to provide a general
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