From the Regulators

The SRO will be conducting routine business, such as electing directors, appointing auditors and considering its financial statements

By James Langton |

The Investment Industry Regulatory Organization of Canada (IIROC) announced that it will be holding its upcoming annual meeting at the Toronto Board of Trade on Sept. 12.

The self-regulatory organization (SRO) will conduct routine business at the meeting, such as electing directors, appointing auditors and considering its financial statements for the most recent fiscal year, which ended on March 31. The materials for the meeting were mailed to IIROC member dealers and marketplaces on Aug. 10, the SRO notes.

IIROC has recently embarked on several major new initiatives — including replacing its market surveillance systems; expanding its role as information processor for debt markets; and it's contemplating an overhaul of its continuing education program — in addition to its policy, compliance and enforcement work.