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IIROC Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules)



IIROC's Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) are a consolidated set of rules relating to:

  • standards of conduct;
  • enforcement investigation;
  • enforcement proceedings;
  • hearing committees;
  • rules of practice and procedure;
  • compliance examination approvals and regulatory supervision;
  • regulatory review proceedings; and
  • procedures for opportunity to be heard.

 

1000 Series – Definitions and Interpretation

Rule 1200 – Definitions

Rule 1400 – Standards of Conduct

8000 Series – Procedural Rules - Enforcement

Rule 8100 – Enforcement Investigations

Rule 8200 – Enforcement Proceedings

Rule 8300 – Hearing Committees

Rule 8400 – Rules of Practice and Procedure

9000 Series – Procedural Rules - Other

Rule 9100 – Compliance Examinations

Rule 9200 – Approvals and Regulatory Supervision

Rule 9300 – Regulatory Review Proceedings

Rule 9400 – Procedures for Opportunities to be Heard

Full text version of IIROC Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules)

Forms

Hearing Date Request

Motion Date Request

Notice of Pre Hearing Conference

Pre Hearing Conference Date Request

Pre Hearing Conference Form


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