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Investment Industry Regulatory Organization of Canada (IIROC)
Client Identifiers Workshops
 
Workshop Part 1 - Dealer Compliance - July 22, 2020
Workshop Part 2 - Technical Compliance - August 26, 2020
 
The Client Identifiers Amendments for Listed Securities (Amendments) will come into effect on July 26, 2021.
 
To help you understand the compliance and implementation issues associated with the Amendments, IIROC is pleased to offer the following online workshops:
 
Part 1 – Dealer Compliance on July 22, 2020 from 2:00-3:30 pm (EST) – Registration closed
Part 2 – Technical Compliance on August 26, 2020 from 2:30-4:00 pm (EST) – please register by August 21
 
Part 1 – Dealer Compliance
 
This workshop is geared towards compliance staff at Dealer Members. At this workshop, we will review:
 
  • the new requirements for listed securities
  • what to include on an order in various scenarios using tools available on the Client Identifiers section of the IIROC website, such as the FIX Specifications  
  • responsibilities of the originating Dealer Member and the executing Dealer Member
  • enhancements to the Regulatory Marker Correction System.
 
Part 2 – Technical Compliance 
 
This workshop is geared towards technical staff at Dealer Members and their vendors. At this workshop, we will review:
 
  • implementation milestones leading up to the July 26, 2021 date, including schedules for testing and certification
  • production rollout details for Dealer Members and marketplaces
  • encryption of client LEIs, including
    • technical specifications for encryption
    • enrollment process for Dealer Members 
    • encryption key rotation process, including the delivery of encryption keys and the acknowledgement of receipt of keys by Dealer Members
    • sample encryption code.
 
Event Links
Individuals that register by the deadline date will receive a link to access the online workshop.  The link will be emailed two days prior to the event.
 
Questions
We encourage you to submit questions in advance of the workshops.  If time permits, we will respond all questions during the relevant workshop.  Those who submit questions will remain anonymous.  If we do not respond to your question during the workshop, we will respond via email as soon as possible.
  
Continuing Education Credit
Participants that complete Part 1 of the workshop will be eligible for Compliance Continuing Education credits. There will be no CE credits for Part 2 of the workshop.  Eligible participants will receive their CE letter via email shortly after the workshop.
 
Inquiries
Please contact Dianne Weatherby, Senior Corporate Events Specialist, Public Affairs, IIROC at dweatherby@iiroc.ca.
 
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