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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.

 

2016 Enforcement Report

Cover of the 2016 Enforcement Report

An overview of IIROC's efforts to protect investors through fair, effective and timely enforcement of our rules. Download the 2016 Enforcement Report in PDF format.

Previous Enforcement Reports and the IIROC Unpaid Fines report are also available.

 

 


 

Recent Announcements


 

Additional Research tools are available on the Search Disciplinary Cases page.
 

 


 

Strengthening IIROC's legal authority

IIROC is currently working with the provinces and our regulatory partners in pursuit of additional legal authority to strengthen the effectiveness of its enforcement actions.

 


 

Working with other regulators to protect investors

IIROC has signed agreements with other regulators to help prevent individuals disciplined for wrongdoing from simply moving to a new jurisdiction or switching designations to hide offences.

 


 

IIROC’s Whistleblower Service

IIROC’s Whistleblower Service has been established to receive, evaluate and take prompt and effective action on reported first-hand knowledge or tangible evidence of potential systemic wrongdoing, potential securities frauds or unethical behaviour by IIROC-regulated individuals or firms.

 


 

Calendar of Disciplinary Hearings

IIROC conducts disciplinary proceedings before Hearing Panels. The list of scheduled hearings is updated weekly.

 


 

Additional information about Enforcement

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