IIROC Annual Compliance Conference
October 6th, 2017

By Jeff Brocklebank.

The Investment Industry Regulatory Organization of Canada (“IIROC”) is the national self-regulatory organization which oversees its investment dealer members. IIROC’s responsibilities include determining which accounting firms are appropriately qualified to audit the financial statements and regulatory filings investment dealers.

Walsh King is one of a small number (20) of CPA firms who have been qualified by IIROC.  The list of qualified auditors can be found here.

Jeff Brocklebank holds the title of Panel Auditor for Walsh King. On October 5th Jeff and his fellow Panel Auditors will meet for the IIROC’s Annual Compliance Conference. Their work ensures that we have an effective and efficient regulatory model that serves the public interest.

The majority of approved auditors are large international, national or regional firms.  IIROC is a very demanding regulatory organization with very high expectations for audit quality and standards.  On a regular basis, IIROC audits the work of each Panel Auditor.  Our long-standing appointment as a Panel Auditor is evidence that our competence in assurance services has been independently verified.

Posted in Seminars + Presentations + Walsh King News

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