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Merger of two regulators could lower costs and increase innovation

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A more flexible and responsive regulatory framework would make adopting new technologies easier, cheaper and less risky from a compliance perspective

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For starters, IIROC points to a study Deloitte LLP conducted showing that a consolidation of the two regulators could result inFirms across Canada have long complained about the costs and inefficiencies created by dual oversight from IIROC, which regulates securities dealers, and the MFDA, which oversees mutual fund dealers.

Advisors today are competing in an era of self-directed trading, robo-advisors and an investor base that’s becoming younger, more independent and digital. To grow and even maintain their businesses in this new environment, they’re adopting new technologies, products and service models. In addition, to take full advantage of the newly integrated regulatory framework, wealth managers may want to merge their IIROC and MFDA dealer operations into a single system. If they see big enough opportunities, they might also consider other changes to their internal technology and operational infrastructures.

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