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.