Workshops were conducted with senior compliance staff from Dealers to explore the costs of compliance and how IIROC can enhance its engagement with Dealers and other industry participants.
A survey was conducted with compliance and operations staff from dealers to explore the costs of compliance and how IIROC can enhance its engagement with Dealers and other industry participants
Strategic Initiatives at IIROC
Member Regulation Policy at IIROC
Capital Markets, Wealth Management Lead, North America Accenture
President and Chief Executive Officer, IIROC
Vice-President, Strategic Initiatives
Vice-President, Member Regulation Policy
Vice-President and Chief Policy Advisor, Member Regulation
Director, Member Regulation Policy
Managing Director – Capital Markets, Wealth Management Lead,
Consultant – Capital Markets, Wealth Management
Manager – Capital Markets, Wealth Management
IIROC is the national self-regulatory organization that oversees all investment dealers and their trading activity in Canada’s debt and equity markets. IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian debt and equity marketplaces.
Accenture is a leading global professional services company, providing a broad range of services and solutions in strategy, consulting, digital, technology and operations. Combining unmatched experience and specialized skills across more than 40 industries and all business functions—underpinned by the world’s largest delivery network—Accenture works at the intersection of business and technology to help clients improve their performance and create sustainable value for their stakeholders. With 469,000 people serving clients in more than 120 countries, Accenture drives innovation to improve the way the world works and lives.
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