Compliance Bulletin: IIROC Releases its 2018/19 Compliance Priorities Report

The Investment Industry Regulatory Organization of Canada (IIROC) published its annual Compliance Priorities Report a review of the issues and trends identified through the past year’s compliance and registration activities, that also provides a preview of areas of regulatory focus for the coming year.

Among IIROC’s areas of focus for the coming year are:

Implementing changes to risk models to ensure IIROC’s compliance resources are focused on the greatest risks to investors and market integrity;

Continuing to support firms’ cybersecurity resiliency by compiling and reviewing the results of IIROC’s second survey on cybersecurity preparedness conducted in late 2018; and,

Ensuring IIROC-regulated firms demonstrate a commitment to a strong compliance culture.

Read more here: https://www.iiroc.ca/Documents/2019/4CD4FE39-3B08-47BF-85F4-9112B1C271B8_en.pdf