Iiroc market trade reporting system

IIROC staff use a leading-edge technology system known as the Surveillance Technology Enhancement Platform STEP , which offers a unique consolidated view of equity trading on all marketplaces that helps to detect unusual activity. STEP gives IIROC better tools, including real-time capability, to monitor and analyze trading activity and identify possible violations of UMIR rules such as:.

These activities can help staff detect the results of leaked information in advance of major announcements including mergers, acquisitions and earnings statements.

When an indication of anomalous trading is detected, STEP generates an alert which staff can assess before further analyzing activity where warranted. Alerts identify trading patterns related to many factors, including unusual movements in the price, volume and size of trades.

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If a rule breach is detected, IIROC can take action which may include further investigation or reversing the trade. When unusual price or volume activity is detected, surveillance staff may contact the issuer to see if it has information to explain the price moves. In cases where market activity has been influenced by rumours or other information, IIROC may ask the company to issue a clarifying statement to the public.

If monitoring efforts or preliminary investigations detect evidence of possible insider trading activity, a violation of provincial securities acts, the details are referred on to the appropriate provincial regulator.

IIROC records all calls to and from Market Surveillance team telephone lines. Contact the Equity Market Surveillance team to request a trading halt.

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New Brunswick Securities Commission - Rules, Policies, Orders, Notices

Turn on more accessible mode. Turn off more accessible mode. Surveillance of Equity Trading IIROC staff use a leading-edge technology system known as the Surveillance Technology Enhancement Platform STEP , which offers a unique consolidated view of equity trading on all marketplaces that helps to detect unusual activity.

STEP gives IIROC better tools, including real-time capability, to monitor and analyze trading activity and identify possible violations of UMIR rules such as: List of regulated dealer firms List of Exchanges and ATSs Individuals IIROC AdvisorReport. Most Recent Releases Use Search Tool for More. Most Recent Announcements IIROC Policy on Halts. DEA and Routing Arrangement Notice Form OES Notice Form Notice of Basis Order Form IIROC Services National Registration Database SIRFF Filing Access.

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