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Member Resources



IIROC strives to promote a greater awareness and understanding of the regulatory issues, rules, challenges and opportunities confronting the investment dealer and marketplace. Our goal is to use every available educational means to assist the dealer and marketplace community along a path of continuously improved self-regulatory performance.
 
We do this through a variety of outreach efforts, including webcasts, live events, such as "Tips for Traders" and "Clues for Compliance"; “sound practice” discussions; written materials and ongoing, pro-active consultation. In these regards, particular attention is paid to:
  • supporting the implementation of new dealer and marketplace rules;

  • emerging topics that are relevant and important; and

  • reviews/discussions of the major ongoing compliance issues being encountered at the regulatory level.

 


 

​Business Continuity

IIROC’s rules require that Dealer Members have a business continuity plan to ensure clients' access to their assets in the event of a significant business interruption.

Learn more about business continuity

 


 
Membership Disclosure


Download or order assets, including the "Regulated by IIROC" logo, required by the new IIROC Membership Disclosure Policy, designed to raise public awareness about IIROC regulated Dealer Members and the requirements, ethical, and professional standards to which they must adhere.

Learn more about membership disclosure

 


 

​IIROC Brochures

Order copies or download PDF versions of the IIROC brochures, Opening Your Retail Account, An Investor’s Guide to Making a Complaint, and How IIROC protects investors.

Learn more about brochures

 


 
Uses of the IIROC official logo for promotional purposes


Request the IIROC official logo in electronic format if IIROC is on the agenda for your conference or continuing education credit course.

Learn more about the IIROC logo

 


 

Cybersecurity

Resources to help IIROC-regulated firms better manage cyber risks.

Learn more about cybersecurity

 

 

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