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IIROC Advisory Committees



A key component of an effective self-regulatory organization is the development of rules and guidance with advisory committee involvement. IIROC coordinates the rule and guidance development process in consultation with the appropriate advisory committees.

The advisory committees also provide a forum for investment dealers, exchanges and alternate trading systems to share experiences, information and ideas, to monitor industry trends, technology developments, and proposed legislation that may affect them.

 

National Advisory Committee

IIROC’s National Advisory Committee (NAC) is an advisory body which serves as a forum for representatives of the District Councils to raise and discuss matters of interest and provide input on policy initiatives.

 


 

Conduct, Compliance and Legal Advisory Section (CCLAS)

The CCLS advises on the development of rules and policies on business conduct, enforcement, and registration related matters affecting Dealer Members. And, it provides a forum for the exchange of information on complying with IIROC and other requirements that relate to business conduct, enforcement, and registration related matters.

 


 

Proficiency Committee

The Proficiency Committee advises on matters relating to proficiency policy and operations. This includes matters relating to licensing standards, and training and continuing education. Committee members participate in working groups to assist in IIROC’s oversight of its proficiency course provider

 


 

Financial and Operations Advisory Section (FOAS)

The FOAS advises on the development of rules and policies on financial and operational related matters affecting Dealer Members, and, it provides a forum for the exchange of information on complying with IIROC and other requirements that relate to financial and operational related matters.

 


 

Fixed Income Committee

The Fixed Income Committee reviews and makes recommendations to IIROC staff about proposed IIROC initiatives relating to fixed income.

 


 

Market Rules Advisory Committee (MRAC)

MRAC reviews and makes recommendations to IIROC regarding policy initiatives related to the trading of securities.

 

 

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