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Enforcement



​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.

 

Access a calendar of upcoming IIROC enforcement panel hearings.

 

Access the 2013 Annual Enforcement Report / IIROC Enforcement Process chart.

 

View IIROC's Unpaid Fines Report.

 

WHAT'S NEW - Recent Announcements
Visit News & Publications to search Notices and view by type.
 
​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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