On May 26, 2016, the Investment Industry Regulatory Organization
of Canada (IIROC) published
IIROC Notice 16-0109 IIROC's Three-Year Strategic
Plan and
IIROC Notice 16-0110 IIROC 2017
Priorities, which respectively set out the
organization's 3-year strategic plan and its immediate
priorities for 2016-17.
Over the longer term, the 3-year
strategic plan responds to the expectations of
key IIROC stakeholders – including its members, other
regulators, investors and employees. At the same time, the plan
addresses a number of key trends, including (among others) the
aging investor population, a shift among retail investors away from
ownership of individual securities (and toward ETFs and other
pooled products) as well as technological change that is affecting
both the business models of IIROC members and the types of
expertise that IIROC requires to be an effective regulator. Also
emphasized in the plan is a trend toward improved co-ordination
among IIROC and other
