COVID-19 RELATED EXEMPTIONS FROM IIROC RULES
Members must submit a written exemption application
The IIROC Board of Directors approved the offering of exemptive relief in a number of areas relating to hardships Dealer Members are experiencing in complying with related IIROC Dealer Member Rules (DMRs) with respect to the effects of the COVID-19 pandemic. IIROC’s objective is to provide firms, where necessary, flexibility to service their clients with mitigating controls or processes to maintain investor protection in this challenging operational environment.
Dealer Members wishing to receive exemptive relief in one or more of the listed areas must submit a written exemption application detailing:
The firm’s exemptive relief application should be submitted by email to the following address: exemptions@iiroc.ca.
If we can be of assistance, here is the IIAC front-line staff.