Concentration of securities Securities held in custody

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Overview

  • Updated On:
  • May 16, 2024
  • Property ID
  • 72

Description

Anti-Money Laundering Compliance Guidance Schedule 9 of Form 1, concentration of securities Securities held in custody – securities held in a foreign jurisdiction Regular settlement date to be used for certain foreign exchange hedge trades Exemption Procedure for Bulk Account Movements Managing Conflicts of Interest arising from Soliciting Dealer Arrangements Loan value granted to significant security positions held in Dealer Member and client accounts Guidance on Client Priority for Private Placements Processing of Segregated Fund Contracts Electronic client complaint record retention

he Investment Industry Regulatory Organization of Canada (IIROC) has republished numerous guidelines to reflect changes to its Rulebook which will come into force at year end 2021. The republished guidelines thereby only contain updated rule references and a change in their code numbers. As the number of documents exceeds 50, we have grouped them into packages of 10 for purposes of easing readability and grasping those that may be of particular interest. The affected guidances in this event are the following:

(1) GN-3200-21-007 – Anti-Money Laundering Compliance Guidance;
(2) GN-4100-21-004 – Guidance on Schedule 9 of Form 1, concentration of securities;
(3) GN-4300-21-004 – Guidance on Securities held in custody – securities held in a foreign jurisdiction;
(4) GN-4800-21-001 – Guidance on Regular settlement date to be used for certain foreign exchange hedge trades;
(5) GN-4800-21-003 – Guidance on Exemption Procedure for Bulk Account Movements;
(6) GN-3100-21-006 – Guidance on Managing Conflicts of Interest arising from Soliciting Dealer Arrangements;
(7) GN-5300-21-001 – Guidance on Loan value granted to significant security positions held in Dealer Member and client accounts;
(8) GN-3500-21-002 – Guidance on Client Priority for Private Placements;
(9) GN-3800-21-002 – Guidance on the Processing of Segregated Fund Contracts; and
(10) GN-3700-21-002 – Guidance on Electronic client complaint record retention

Property Id : 72
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