Investment Industry Regulatory Organization of Canada (IIROC) is a national self-regulating organization which oversees investment dealers and trading activity on debt and equity marketplaces in Canada.
Enforcement administers rules on the proficiency, sales, business and financial conduct of all Canadian dealer firms and their registered employees. It also enforces market integrity rules regarding trading activity on all equity marketplaces in the country. Case management is a cornerstone of IIROC’s business.
IIROC sought a new case management system to enable its enforcement team to more efficiently manage cases from intake assessment and qualification, through to investigation and recommendation. They also needed a refreshed user experience, with easy, intuitive access to information about membership firms, their employees and case life cycles.
IIROC’s Corporate Dealer member team partnered with K2 Digital’s Digital Technology Microsoft practice to deliver a modern, intuitive Case Management solution. Built on MSCRM, SharePoint and Microsoft Outlook, the new solution provides IIROC investors and Case Management Officers with their personal dashboards with detailed case status information. Case processing time - a key performance indicator for IIROC - is available at a glance via web browser or within Microsoft Outlook.
In fact, the deep integration with Microsoft Outlook – the tool where most IIROC employees spend their time – has proven to be a key benefit for IIROC from a timeliness and productivity perspective. For example, for the first time ever, IIROC’s employees can see key events related to their cases – such as the scheduling of witness interviews - as meetings within their Outlook calendar.
Simply put the new solution has enabled a much greater level of employee “Self-Service” than IIROC had ever imagined. Through their partnership with K2 Digital, the organization now has fingertip access to all of the case-related information they need - when and how they need it.
IIROC’s new Microsoft-based case management system results in productivity gains enabled by easy information access, employee self-service and personalized dashboards.