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Alternative Discipline Proposals



IIROC has launched an extensive public consultation on two new disciplinary approaches dealing with minor violations of IIROC rules and the early resolution of disciplinary cases.

Related documents

February 22, 2018
IIROC invites public comment on potential new disciplinary options
IIROC News Release

Alternative forms of disciplinary action
Backgrounder

Request for Comment – Enforcement Alternative Forms of Disciplinary Action
IIROC Rules Notice 18-0045

 


 

March 6, 2018 to May 24, 2018
Comments received

 


 

November 7, 2018
Download the investor survey in PDF format (34 pages, 1MB)

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