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Company: Investment Industry Regulatory Organization of Canada

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meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

The MRAC provides advice to IIROC staff about possible changes to trading rules, guidance and other market regulation issues

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

The SRO has launched a second consultation on the proposals, which may have “significant impacts” on the investment industry

Closeup of mallet being hit on stacked coins at table in courtroom

Robert Sole took a job with a proprietary trading firm while suspended, violating the terms of a 2016 settlement agreement

business people standing in line under a magnifying glass

The SRO also plans to review the regulation of advice to ensure the rules enable innovation in the industry

Quebec National Assembly exterior

The legislation will boost the ability of self-regulatory organizations to carry out their mandates

gavel with $100-bill background

Former rep sanctioned for unapproved personal financial dealings with clients, and failing to co-operate with an investigation

Manitoba Legislative Building in Winnipeg, Manitoba, Canada

Legislation protects SRO against malicious lawsuits

Investment Executive June 2018 front cover

IIROC’s plans have been criticized by industry and investors advocates

cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background

New requirements would result in additional compliance costs

Financial accounting business sheet calculator

Publishing the data recognizes IIROC’s ability to leverage data already collected by it for regulatory purposes