IIROC

IIROC licenses new tech for better market surveillance

IIROC, the self-regulatory body for investment dealers, says it is stepping up its market surveillance capabilities after reaching an agreement to use upgraded Nasdaq technology. The agreement, announced Thursday, allows IIROC to use new Nasdaq SMARTS surveillance technology to oversee all securities trading on debt and equity markets in Canada. The upgraded Nasdaq SMARTS system, […]

By Staff |July 13, 2017

1 min read

IIROC’s debt trade info hub offers more

IIROC has increased transparency in Canada's debt market by expanding the information available on its corporate bond website

By Staff |July 7, 2017

1 min read

CSA to IIROC: Get with the (examination) program

Failure to make timely changes to examinations results in high-priority finding

By Staff |July 4, 2017

3 min read

IIROC guidance on managing conflicts poses challenges for dealers

01 IIROC compensation review In April, IIROC published guidance on managing compensation-related conflicts after reviewing 20 firms. The review identified three concerns: The guidance, along with CSA’s proposal on banning embedded commissions, indicates a trend “toward greater clarity, greater and better disclosure, and fewer conflicts,” says John Fabello, a partner at Torys in Toronto. Though […]

By Michelle Schriver |June 30, 2017

6 min read