Registration - Organization

Investment Industry Regulatory Organization of Canada (IIROC) / Andrew Kriegler, President & CEO

Registration Information

Organization name: Investment Industry Regulatory Organization of Canada (IIROC)
Senior Officer Name: Andrew Kriegler, President & CEO
Initial registration start date: 2017-09-22
Registration status: Inactive
Registration number: 1658-1824

Associated Lobbying Activity Reports

Total number of Lobbying Activity Reports: 1

Lobbying Activity Reports - last 6 months: 0

Version 14 of 36 (2021-03-01 to 2021-04-01)

Registration versions:

Version 14 of 36 (2021-03-01 to 2021-04-01)

Lobbying Information

Subject Matter of the Lobbying Activities

Details Regarding the Identified Subject Matter

Will any of the lobbyists listed within this registration arrange a meeting between a public office holder and any other individual for the purpose of attempting to influence any of the matters listed below:

Yes

Specific Topics of Lobbying Communications	Intended Outcomes	Associated Subject Matters
IIROC is a recognized self-regulatory organization under the BC Securities Act. We are seeking amendments to the Securities Act to: 1) grant us immunity in the exercise of our regulatory duty; 2) allow us to compel evidence in our disciplinary investigations and hearings; and 3) enhance investor protection and make self regulation more effective and efficient.	Development of any legislative proposal by the government of British Columbia, a Provincial entity or a member of the Legislative Assembly Introduction, amendment, passage or defeat of any Bill or resolution in or before the Legislative Assembly Development or enactment of any regulation, including the enactment of a regulation for the purposes of amending or repealing a regulation	Financial Institutions

BC Ministries/Provincial Entities

Attorney General and Minister responsible for Housing
British Columbia Securities Commission
Finance
Member(s) of the BC Legislative Assembly
Office of the Premier

Organization Details

Senior Officer Name and Position during the Period of this Registration

Andrew Kriegler, President & CEO

Organization Contact Information

Investment Industry Regulatory Organization of Canada (IIROC)

Address:
121 King Street West
Suite 2000
Toronto, ON M5H 3T9
Canada

Telephone number: 514-392-3412

Description of Activities

IIROC is the pan-Canadian public interest self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada

Gifts or benefits provided by the organization

Gifts or Benefits Provided to Public Officer Holders
Name	Gift or Benefit Description	Circumstance	Date Promised	Value Promised	Date Given	Value Given
No Records

Contributors to the Lobbying Activity

No person or organization contributed over $1000CDN, within the preceding 12 months, toward the lobbying activity on behalf of the organization that has a direct interest in the outcome of the lobbying activity.

Government Funding in the Last 12 Months

No government funding was requested or received within the preceding 12 months.

Coalition Members Information

Investment Industry Regulatory Organization of Canada (IIROC) is not a coalition member.

Affiliates with a Direct Interest in the Outcome

Investment Industry Regulatory Organization of Canada (IIROC) does not have any affiliates that could have a direct interest in the outcome of the lobbying activities

Other Persons or Organizations with Direct Interests

The activities of Investment Industry Regulatory Organization of Canada (IIROC) are not controlled or directed by another person or organization with a direct interest in the outcome of this undertaking.

Lobbyists Details

Lobbyists Employed by this Organization

Lobbyist

Contributions

Lucy Becker
Subscribes to a Code of Conduct: No
Former Public Office Holder in BC: No