Investment Industry Regulatory Organization of Canada (IIROC)

SPEECHES & PUBLICATIONS

CEO remarks at the IIROC 2016 Annual Compliance Conference

CEO remarks at IIROC Toronto Stakeholder Reception
September 12, 2016

IIROC Annual Report
2015 - 2016

IIROC publishes new
three-year strategic plan

2015 Enforcement Report

2015-2016 Annual Compliance Priorities Report

IIROC Policy Priorities
as at October 11, 2016

IIROC Weekly Update
December 12, 2016

Investment Industry Regulatory Organization of Canada (IIROC)

Access our rule books for dealer and marketplace regulation. Get information on registration, compliance, surveillance and continuing education.

Learn the value of working with a registered advisor. Get help making a complaint and accessing options for resolving disputes. Use our investor tools and resources, including the IIROC AdvisorReport.

Corporate Debt Trade Information website now available.

NEW AND NOTABLE

December 15, 2016
IIROC provides compliance survey update on managing conflicts in clients’ best interests

November 3, 2016
IIROC proposes guidance on order-execution only services and activities

November 2, 2016
New Memorandum of Understanding: IIROC and CDIC strengthen consumer protection

October 31, 2016
Unsuitable investments top investor complaints, IIROC statistics show

October 3, 2016
IIROC issues cybersecurity report cards for dealer firms

September 27, 2016
IIROC receives authority to file Watts enforcement decision with PEI Supreme Court

IIROC SUBMISSIONS AND LETTERS

July 7, 2016
CCIR Segregated Funds Working Group issues paper
IIROC submission

June 17, 2016
Expert Committee on financial planning — Ontario

February 1, 2016
Ontario 2016 pre-budget consultations
IIROC presentation to Standing Committee on Finance and Economic Affairs

December 7, 2015
Cooperative Capital Markets Regulatory System

IIROC comments

December 1, 2015
Review of mandates of financial services regulators — Ontario
IIROC submission

KEY ISSUES

Membership Disclosure rules

Cybersecurity

IIROC White Paper: Proficiency and directed commissions

Managing conflicts in the best interest of the client

IIROC Consolidated Enforcement, Examination and Approval Rules

IIROC's Client Relationship Model (CRM)

Strengthening enforcement
(Globe and Mail article)

Debt/Bond Market Transparency

T+2 Settlement Cycle

Investment Industry Regulatory Organization of Canada (IIROC)

Who We Regulate

Rule Book

Notices

News Releases

Halts & Resumptions

Regulatory Reporting

Inquiries & Complaints

IIROC AdvisorReport

Search Disciplinary Cases