Transcription of Rules Notice Please distribute internally to - iiroc.ca
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Rules Notice Please distribute internally to - iiroc.ca
Rules Notice Guidance Note Dealer Member Rules Please distribute internally to: Legal and Compliance Retail Operations Senior Management Trading Desk Training Contact: Charles Piroli Director, Member Regulation Policy 416-943-6928 18-0076 April 9, 2018 Guidance on Order Execution Only Services and Activities Summary This Guidance on order execution only (OEO) services offered by Dealer Members (OEO firms): sets out our expectations and the regulatory requirements applicable to all OEO firms discusses the scope of tools, services, activities and information (collectively, tools) that we consider to be consistent with the OEO regulatory framework.
IIROC Notice 18-0076– Rules Notice – Guidance Note – Dealer Member Rules – Guidance on Order Execution Only Services and Activities 3 1. Background The OEO business model was designed to provide investors who are comfortable making their own investment decisions with a lower-cost option to the traditional full-service dealer model.
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