ARTICLE · 19 JULY 2017

Regulating The Regulators: IIROC 2016 Report Card Released

Stikeman Elliott LLP

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The IIROC is the national self-regulatory organization (SRO) that oversees all investment dealers, as well as trading activity on debt and equity marketplaces in Canada.

CanadaCorporate/Commercial Law

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The Investment Industry Regulatory Organization of Canada (IIROC) is the national self-regulatory organization (SRO) that oversees all investment dealers, as well as trading activity on debt and equity marketplaces in Canada. Like other regulated entities, IIROC is subject to the oversight of securities regulators, in this case each of the ten provincial securities regulators that have recognized IIROC as an SRO, collectively, the Recognizing Regulators (RRs). On July 4, 2017, the participating RRs issued their Oversight Review Report of the Investment Industry Regulatory Organization of Canada with the results of their review for the period from April 1, 2015 to July 31, 2016. The previous review was conducted in 2015.

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