Canadian Investment Regulatory Organization (CIRO) - Rules Bulletin - Request for Comments - Proposed Amendments Respecting Client Delivery Obligations
The Canadian Investment Regulatory Organization (CIRO) is publishing, for a comment period that expires on July 3, 2026, proposed amendments to the Investment Dealer and Partially Consolidated Rules (IDPC) relating to client delivery obligations (the Proposed Amendments). The Proposed Amendments are intended to require applicable investment dealers to establish, maintain, and apply policies and procedures reasonably designed to detect and address client failures to deliver after selling a listed security on a marketplace, when the security is not held by or under the control of the investment dealer.
CIRO’s notice sets out the process for submitting comments.
Comment Period Expires: July 3, 2026
Published: April 2, 2026.