Draft is a response to rule changes resulting from registration reform
Updated guidance indicates that all methods of communication, including social media, are subject to the IIROC’s rules
System delivers transaction confirmations and compliance documents for new issue equity and fixed income products
Latest round of compliance exams to focus on client complaint handling rule
Firms allowed to comply with the rules in their home jurisdictions, including Canada
Firms should view compliance as a means to avoid problems, not as a burden
