The Canadian Securities Administrators (CSA) have released the Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) that evaluates whether specific regulatory processes are operating effectively, and outlines findings that are significant and require corrective action.
This coordinated review covered the period from January 1, 2014 to March 31, 2015 and was conducted jointly by eight of the provincial securities regulators that recognize IIROC: the Alberta Securities Commission; the Autorité des marchés financiers; the British Columbia Securities Commission; the Financial and Consumer Affairs Authority of Saskatchewan; the Financial and Consumer Services Commission of New Brunswick; the Manitoba Securities Commission; the Nova Scotia Securities Commission; and the Ontario Securities Commission.
Advisor – March 03, 2016.
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