IIROC’s Compliance/Surveillance function includes regulating Member and Market Compliance (Business Conduct, Financial Compliance and Trade Review and Analysis), and Market Surveillance.
Our Role
IIROC’s Compliance and Surveillance department is responsible for monitoring the financial, business, sales practice and trading compliance of IIROC-regulated firms and their registered employees and also monitors the trading activity on Canadian equity markets for compliance with market integrity rules, on both a real time and post-trade basis