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IIROC Opens nominations for District Councils

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The Investment Industry Regulatory Organization of Canada is calling on its Dealer Members to nominate candidates to provincial District Councils.

To qualify as a nominee, a person must be an officer or employee of a Dealer Member in the province of the District Council and must be nominated by a Dealer Member with offices in that province.

“District Council members play an important advisory role with respect to regional, policy and business-related issues,” said Richard Korble, IIROC’s Vice-President, Western Canada. “It is also a great opportunity to participate in the self-regulatory process for the securities industry.”

Nominations must be submitted by March 11, and further information about the nomination process can be found by reading the Notice.

IIROC is the pan-Canadian self-regulatory organization that oversees all investment dealers and their trading activity in Canada’s debt and equity markets. IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of 174 Canadian investment dealer firms of varying sizes and business models, and their more than 31,000 registered employees. IIROC also sets and enforces market integrity rules regarding trading activity on Canadian debt and equity marketplaces. For more information, visit  www.iiroc.ca.

View the PDF from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

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