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ARTICLE · 17 APRIL 2014

IIROC Updates Its Policy Priorities

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The IIROC has published an updated list of priorities and timeframes for initiatives that may require dealer members to act over the next 12 months.

CanadaCorporate/Commercial Law
Alexis Bowie
Alexis Bowie
Anita Kim
Anita Kim
Jamie Litchen
Jamie Litchen
Joel McElravy
Joel McElravy
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The Investment Industry Regulatory Organization of Canada ("IIROC") has published an updated list of priorities and timeframes for initiatives that may require dealer members to act over various periods spanning the next 12 months. The most pressing areas for dealer members relate to IIROC's guidance on borrowing for investment purposes and the use of business titles and financial designations. Both of these initiatives are currently in the implementation phase and may require immediate attention from dealer members.

Over the next three months, dealer members will be expected to turn their minds to issues relating to proposed IIROC guidance on underwriting due diligence (read our summary here), and changes to the Client Relationship Model, fee model guidelines, and transaction reporting.

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