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HomeWealth ManagementIIROC chief hails accomplishments forward of latest SRO

IIROC chief hails accomplishments forward of latest SRO


“We’re additionally happy to collaborate with the Montreal Change to permit our surveillance groups to work collectively to strengthen market integrity and additional assist our potential to share info and tackle problematic buying and selling practices,” stated Andrew J. Kriegler, IIROC President and CEO. 

The report reveals that the SRO coordinated 1,547 buying and selling halts, monitored greater than 606 million trades throughout six exchanges, and intervened by various or cancelling trades 54 instances, affecting 796 transactions.

Among the many different key moments within the 12 months, IIROC expanded necessary consumer identifiers to Canada’s fairness in addition to debt markets.

The report highlights that this gives for a much more complete and well timed view of market exercise and boosts IIROC’s monitoring and investigative capabilities.

Rewriting the foundations

The previous 12 months additionally noticed a brand new method to guidelines governing Canada’s funding business.

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