IIROC Releases Annual Report for 2013-2014

TORONTO, Sept. 8, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) has released its 2013-14 Annual Report which highlights its progress in advancing important regulatory initiatives to protect investors and prevent harmful activity, strengthen industry standards and enhance market integrity.

"Stakeholder consultation and engagement are critical components of efficient and effective regulation," said IIROC President and CEO Susan Wolburgh Jenah. "In 2013-14, we continued to constructively engage with the industry, investors and other stakeholders to ensure we achieve more effective regulation, enhanced compliance and increased confidence in our markets."

Some of the highlights include:

  • Consultation with industry and other stakeholders on IIROC's current proficiency assurance model to determine the approach that best serves the public interest, the industry and our regulatory requirements;
  • Development of an online Glossary of Financial Certifications, with investor feedback, to help investors better understand the skills and experience that underlie the various designations in use;
  • Publication of quarterly Policy Priorities Update Reports to assist members in effective implementation planning and to alert stakeholders on IIROC proposals for comment;
  • Selection of three project teams comprised of academic experts to independently assess the impact of high frequency trading activity in the Canadian equity markets for the final phase of IIROC's three-part study;
  • Ongoing work and consultation with IIROC-regulated firms to successfully implement comprehensive Client Relationship Model (CRM) reforms to strengthen the client-advisor relationship.

The complete Annual Report is available on IIROC's website at www.iiroc.ca. Print copies are also available upon request.   


IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.  Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets. 

IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.

SOURCE: Investment Industry Regulatory Organization of Canada (IIROC) - General News

For further information: June Yee, Manager, Corporate Communications, 416 943-6921, jyee@iiroc.ca; Karen Archer, Senior Media & Public Affairs Specialist, 416 865-3046, karcher@iiroc.ca



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