The Investment Industry Regulatory Organization of Canada (IIROC) operates under Recognition Orders from the Canadian Securities Administrators (Canada’s provincial and territorial securities regulators).
The securities regulatory authorities of British Columbia, Alberta, Ontario, Quebec, Saskatchewan and Newfoundland and Labrador have delegated to IIROC the authority to grant registration under provincial securities legislation. The British Columbia Securities Commission, Alberta Securities Commission, Saskatchewan Financial Services Commission and the Superintendent of Securities of Newfoundland and Labrador have delegated the authority to grant registration to both IIROC Dealer Members and their individual employees or agents. The Ontario Securities Commission and Autorité des marchés financiers du Québec have delegated authority to registered individual employees and agents only.
IIROC is subject to oversight and regular operational reviews by the CSA.
Recognition Orders:
Registration Orders:
Memorandum of Understanding: