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ARTICLE · 21 JUNE 2019

Foresight 2020: IIROC Publishes Its Priorities For Fiscal 2020

McCarthy Tétrault
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Recently, the Investment Industry Regulatory Organization of Canada (IIROC) published its regulatory priorities for fiscal 2020 and a three-year strategic plan.

CanadaFinance and Banking
Canadian Securities Regulatory Monitor
Canadian Securities Regulatory Monitor
Cristian Blidariu
Cristian Blidariu
Sean Sadler
Sean Sadler
Rene Sorell
Rene Sorell
Author LinkedIn connections

Recently, the Investment Industry Regulatory Organization of Canada (IIROC) published its regulatory priorities for fiscal 2020 and a three-year strategic plan.

Key priorities include:

  • Protecting seniors and vulnerable investors - safe-harbour rule. A rule will be proposed that would give Dealers the ability to place a temporary hold on a client's account where financial exploitation or diminished capacity is suspected.
  • Competency profiles. IIROC will start to develop competency profiles for individual registrants prescribing the knowledge and competencies required of each IIROC approval category. IIROC will seek stakeholder input and then publish draft profiles for public comment.

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