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Industry Compliance



​IIROC is responsible for monitoring the compliance of its regulated dealer firms and their registered employees with rules related to business conduct, financial operations and trading practices. Effective compliance is essential to effective securities regulation.  close

Access the 2013-2014 Annual Consolidated Compliance Report
Compliance in Action: Standards of Conduct

FINANCIAL OPERATIONS
Staff monitor investment dealer finances to ensure firms comply with capital requirements
and more.

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BUSINESS CONDUCT
Staff monitor dealers’ nonfinancial regulatory requirements, including compliance with  supervision guidelines and ensuring transactions reflect client needs 
and instructions.​

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TRADING CONDUCT
Staff monitor dealer firms to ensure trading activity is in compliance with marketplace rules (UMIR)

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Risk Trend Report
​Risk Trend Reports are produced on all dealer firms, in order to encourage them – particularly those with a high or rising risk profile – to strengthen governance and risk management practices.

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