Records Management System of IIROC - Special Academic Support

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IIROC is the Investment Industry Regulatory Organization of Canada, and it oversees and protects Canadian investment firms. Like any organization, it has many records of various activities that are necessary for business management and the systematization of information. Naturally, they have a records management system that ensures the efficiency of operations and controls the creation of new records and their destruction. A records management system accounts for an organizations valuable information assets. The IIROC is an organization that relies on the supervision of business transactions and the regulation of finances, which is why it ensures the efficiency of its records management system.

The IIROC has a records management system that is led by a dealer member. They maintain records for clients accounts, the accounts names and addresses, and a signed trading authorization. The ladder describes the instructions for trading the account to another person other than the account holder, if applicable. The dealer members responsibilities also include maintaining a record of all persons with trading authorization over one or more client accounts, which allows them to identify trading practices within the community of investors. A dealer member must also maintain the records of all these aspects of business in a safe location authorized by the IIROC for a minimum of seven years from the date the record is created. It may only be deleted if the security requirements of the IIROC call for the records termination. The dealer member also retains all records f purchases, sales of security, receipts, deliveries of securities (including certificate numbers), future contracts, and all other debits and credits. The dealer member can only retain records that are accurate and provide an audit trail to support the dealer members supervision of the organization.

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