Aggregated News From Investment Management Regulators

IIROC to bring CE accreditation in house

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The Investment Industry Regulatory Organization of Canada (IIROC) will be assuming direct responsibility over the accreditation of Continuing Education courses starting January 1, 2022, for Dealer Members or external course providers who wish to submit them.

The move is part of a broader initiative to maintain a robust proficiency regime with high standards and effective regulation.  A review of the process found that Continuing Education accreditation could be provided at cost to Dealer Members.

“Directly providing CE accreditation services will enhance service, quality control and transparency while offering a lower fee,” said Elsa Renzella, IIROC’s Senior Vice-President, Enforcement, Registration and Enterprise Risk. “IIROC reviewed best practices across several regulated sectors and found that regulators and professional standards bodies commonly perform continuing education course accreditation in-house using methods that suit their membership.”

The Continuing Education Course Accreditation Process Centre (CECAP) is currently under agreement to provide IIROC with CE course accreditation services and will continue to do so for the duration of the current CE cycle, which runs until December 31, 2021.

“We would like to thank CECAP for providing services to our members over many years, but we are excited to bring the accreditation in-house.” Said Renzella. “We will continue to review our Continuing Education accreditation processes and seek critical input from Dealer Members.”

No changes to the IIROC Rules regarding Continuing Education have been proposed at this time.

About IIROC:

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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