Among other things, we are strengthening our planning process, refining our exam modules, focusing on corporate governance within dealers and enhancing training of examiners.ĭealers’ cybersecurity preparedness continues to be a high priority for IIROC. We are also working on improvements to our examination program to continue to enhance our risk-based framework. ![]() ![]() The review resulted in recommendations – which we will implement over the next year – to recalibrate some of the risk factors, measurements and/or weightings. In FY17, we conducted a comprehensive review of our risk models to ensure they remain current and achieve their intended predictive purpose. IIROC uses risk models to inform the frequency and content of our compliance examinations, allowing us to focus on dealers and areas that present the highest risk. ![]() the results of our targeted reviews and surveys.recurring/significant examination deficiencies.Together with our guidance notes, day-to-day contact, annual compliance conferences and other forums, this report helps dealers focus their supervision and risk-management efforts to comply with our regulatory requirements in a way that is appropriate for their unique business models. This report deals with current issues and challenges that Dealer Members (dealers) should address to improve investor protection and foster market integrity. ![]() We are pleased to present IIROC’s annual Compliance Priorities Report for 2017/2018.
0 Comments
Leave a Reply. |
AuthorWrite something about yourself. No need to be fancy, just an overview. ArchivesCategories |