GOAL FIVE – ACT IN AN ACCOUNTABLE, FAIR AND TRANSPARENT MANNER



What we did
Continued to publish IIROC’s policy priorities.
How we did it
Continued to publish quarterly Policy Priorities Update Reports, setting out timeframes and objectives of IIROC’s Dealer and Market Regulation policy initiatives for the upcoming 12 months.
Why it matters
Publication supports transparency and alerts all stakeholders about the status of various policy initiatives so they can provide input and plan for effective implementation.

Continued to publish regular annual reports.
Published a number of annual reports to better inform IIROC stakeholders, including:
  • Annual Compliance Report
  • Annual Enforcement Report; and
  • Annual Exemption Report.
These reports are integral to transparency and help stakeholders better understand and respond to IIROC’s priorities and compliance focus.

Continued to enhance website content.
Published all policy initiatives and investor and dealer resources regularly on IIROC’s website.

Analyzed metrics to identify areas of focus for website users.
Making information available in multiple formats helps ensure relevant information is accessible to diverse stakeholders.

Fostered constructive discussion of venture market trading issues.
Hosted a roundtable in Vancouver in May 2014, to facilitate discussion among diverse stakeholders about issues facing junior markets.

To support the discussion, IIROC compiled and published background research as “Selected Background Information for the IIROC Venture Market Roundtable.”

Worked with the British Columbia Securities Commission to examine the activity of high frequency traders in the venture market.
It is important that all industry participants have relevant facts and can engage in meaningful discussions.

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