Protecting Investors and Supporting Healthy Canadian Capital Markets.
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IIROC publishes newthree-year strategic plan
2015 Enforcement Report
2015-2016 Annual Compliance Priorities Report
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NEW AND NOTABLE
June 24, 2016IIROC develops resources to help protect senior investors
June 23, 2016IIROC to begin publishing corporate debt trade information next month
June 20, 2016Financial services regulators work together to strengthen consumer protection in BC and across Canada
June 16, 2016IIROC publishes final membership disclosure rules
April 6, 2016Managing conflicts in the best interest of the clientMarch 10, 2016IIROC requests comments on proposed Dealer Member Plain Language Rule Book
IIROC SUBMISSIONS TO GOVERNMENTS
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.
Strengthening enforcement(Globe and Mail article)
IIROC Fixed Income Trade Reporting
IIROC's Client Relationship Model (CRM)
IIROC White Paper: Proficiency and directed commissions
IIROC Policy Priorities as at April 11, 2016
IIROC Weekly UpdateJune 27, 2016