Protecting Investors and Supporting Healthy Canadian Capital Markets.
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Membership Disclosure rules
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
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NEW AND NOTABLE
January 31, 2017PEI grants IIROC authority to collect fines through Supreme Court
January 26, 2017Financial service regulators strengthen consumer protection in Alberta
January 12, 2017IIROC issues Compliance Priorities Report for 2016/2017January 11, 2017Bourstad, 2017 Edition: Registration Is Now Open!
December 15, 2016IIROC provides compliance survey update on managing conflicts in clients’ best interests
IIROC SUBMISSIONS AND LETTERS
July 7, 2016CCIR Segregated Funds Working Group issues paper IIROC submission
June 17, 2016Expert Committee on financial planning — Ontario
February 1, 2016Ontario 2016 pre-budget consultations IIROC presentation to Standing Committee on Finance and Economic Affairs
December 1, 2015 Review of mandates of financial services regulators — Ontario IIROC submission
Planned service outage:All IIROC Services and Continuing Education applications will be unavailable between 6:00 p.m. and 11:00 p.m. ET on Friday, June 3 due to scheduled maintenance. We apologize for any inconvenience.
CEO remarks at the International Conference on Certification and Capacity Building in Financial Markets January 20, 2017
IIROC Annual Report 2015 - 2016
IIROC publishes newthree-year strategic plan
2015 Enforcement Report
2016-2017 Annual Compliance Priorities Report
IIROC Policy Priorities as at January 10, 2017
IIROC Weekly UpdateFebruary 20, 2017