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​IIROC enforces rules on the proficiency, sales, business and financial conduct of all Canadian dealer firms and their registered employees. It also enforces market integrity rules regarding trading activity on all equity marketplaces in the country. Effective enforcement helps to enhance investor confidence in the financial services industry.


WHAT'S NEW - Recent Announcements

​How to search enforcement records

  • Search Disciplinary Cases: Use our database to search by individuals (including current and formerly registered advisors) and firms.

  • Use the IIROC AdvisorReport service to run a report on backgrounds of currently registered advisors which includes any disciplinary history.

  • Can't find it? Questions? Call us at 1.877.442.4322.
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