IIROC's surveillance functions include:

• Real-time monitoring of trading activity on the Canadian equity markets
• Ensuring compliance with timely disclosure of information by publicly traded companies
• Ensuring trade desk compliance with the Universal Market Integrity Rules (UMIR)
  

Using sophisticated and leading-edge surveillance systems and programs, IIROC can track trading behavior in real time and collect evidence required to pursue cases relating to violations, such as insider trading, manipulative activity, frontrunning and other UMIR infractions. IIROC can also detect the results of leaked information in advance of major announcements including mergers, acquisitions and earnings statements.

To ensure our surveillance capabilities remain leading edge and are coordinated with other marketplaces, IIROC is a member of the Intermarket Surveillance Group (ISG), comprised of 31 exchanges around the world including all major stock exchanges, whose mandate is to promote effective market surveillance among international exchanges.

Click here for the Notice of Basis Order Form.

Click here for the Gatekeeper Form.

Please note that IIROC records all IIROC surveillance officer telephone calls for regulatory purposes.

Please also see our privacy policies.