regulatory Archives - Page 2 of 3 - The Industry Spread

IIROC Releases Compliance Priorities Report for 2018/19

January 20, 2019

The Investment Industry Regulatory Organization of Canada (IIROC) today published its annual Compliance Priorities Report a review of the issues and trends identified through the past year’s compliance and registration activities, that also provides a preview of areas of regulatory focus for the coming year.