IIROC, the self-regulatory body for investment dealers, says it will be seeking feedback about its work from dealers in the coming year.
In the group’s 2018 priorities report, released Thursday, IIROC says in the coming fiscal year it will be asking dealers to “tell us how we are doing, and where they feel we need to improve our approach to be more effective, efficient and relevant.”
IIROC will be seeking feedback on its approach to regulation, how it addresses industry issues, the efficiency, effectiveness and timeliness of examinations and investigations, and the value of its education programs and communications.
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As priorities, the report identifies several previously stated initiatives such as pursuing more effective legal enforcement authority, accommodating new advice and service models, and implementing a new and enhanced market surveillance system.
Read the full report here.
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