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Guide to Common Infractions



In any given year, IIROC receives over 1,000 complaints about possible violations of IIROC Marketplace and Dealer Rules. The list below describes some of the most common infractions.

 

    Manipulation
    Conflict of Interest
    Unauthorized or discretionary trading
    Inappropriate personal financial dealings and outside business activities
    Unsuitable Investments
    Wash Trading
    Frontrunning & Client Priority violations
    Falsification / Forgery of Documentation
    Misrepresentation
    Theft, fraud
    Inadequate Supervision
    Failure to Deliver Best Execution
    Churning or Excessive Trading






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  • ​Access IIROC’s Rules of Practice and Procedure, the Dealer Rulebook or the Marketplace (UMIR) Rulebook.
  • Investor dispute with your advisor or dealer? Visit the Investors section to find out more about filing a complaint or learning the different options available to assist you in seeking compensation.
  • Visit the Policy section to read about proposals and guidance regarding rules.