IIROC Releases Annual Report for 2010-11

August 18, 2011 (Toronto, ON) – The Investment Industry Regulatory Organization of Canada (IIROC) has released its 2010-11 Annual Report, titled Building Confidence in Canada’s Capital Markets. Features from this year’s report include:

• Highlights of the initiatives IIROC has implemented over the past year to enhance and strengthen trust and confidence in Canadian capital markets;
• An industry profile of the investment dealers and marketplaces that IIROC regulates across the country; and
• IIROC’s Strategic Plan Scorecard, which measures the organization’s progress against its strategic goals.

“One of our key strategic goals is to promote a strong culture of compliance at IIROC- regulated firms,” writes IIROC President and CEO Susan Wolburgh Jenah in the Annual Report. “A shared commitment to high industry standards and a culture of compliance is the foundation of self-regulation. It is vital to strengthening and maintaining confidence in the Canadian investment industry and the integrity of our capital markets.”

The complete Annual Report is available on the IIROC website, where it may be viewed in its entirety or in individual sections. Print copies are also available on request.

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IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.

IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.

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