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IIROC

Protecting Investors and Fostering Fair, Efficient and Competitive Capital Markets across Canada.


Watch the 6-minute IIROC video which explains

"What We Do..." (text alternative)

SPEAKING EVENT

IIROC President and CEO Andrew Kriegler will share his perspectives on leadership, industry trends and career strategies at an event hosted by the CFA Society Toronto on April 14, 2015 in Toronto. More details and registration information for the Leadership in Finance panel are available on the CFA website.

Know your advisor

Investment Industry Regulatory Organization of Canada (IIROC)


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

 

 

March is Fraud Prevention Month
Click here to learn more.



WHAT'S NEW

 

March 30, 2015 - Mitigating volatility
IIROC republishes proposal on marketplace thresholds

 

March 30, 2015 - Strengthening investor protection
IIROC releases 2014 Enforcement Report

 

March 16, 2015 - Committed to transparency
IIROC issues annual Exemption Report

 

March 6, 2015 - Results to shed light on impact of dark rules on market quality and integrity
IIROC publishes further academic paper on impact of HFT | Background Information

 

January 19, 2015
Policy Priorities - Update Report

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IMPORTANT INFORMATION

IIROC’s website will closed
for maintenance from
9 a.m. to 5 p.m. on Saturday, April 4.

 

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IIROC’s Proposed
Anti-Avoidance Provision
 

 

IIROC's Study of High Frequency Trading (HFT)

 

IIROC's Client Relationship Model (CRM)

 

IIROC's Debt Transaction Reporting