IIROC’s Surveillance & Compliance Division creates a Risk Trend Report (RTR) for every dealer member, reflecting both the financial condition and business conduct of that firm. Circulation of the RTR is restricted and can only be accessed or used by the dealer member, the dealer member’s panel auditor and regulators.

The objective of the RTR is to encourage dealer members, particularly those with a high or deteriorating risk profile, to strengthen their governance and risk management practices.

The RTR identifies the key factors in the firm’s risk assessment, makes specific recommendations, if any, for dealer member action and provides comparisons of both its peer group and the industry as a whole.  Each dealer member has been categorized into one of the nine peer groups as presented in the List of IIROC Dealer Members by Peer Group.

The assessment is based on information available to Financial & Operations Compliance (FinOps), Business Conduct Compliance (BCC) and the Complaints and Settlements Reporting System (ComSet). For specific details as to the assessment criteria and the weightings used in the risk assessment models, please see FinOps Risk Assessment Model, BCC Risk Assessment Model, and ComSet Risk Tool.