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Annual Reports & Strategic Plan



These reports give us the opportunity to report on the efforts IIROC has undertaken in the public interest.

 

Annual Compliance Priorities Report

This Report is intended to assist IIROC Dealer Members in focusing their supervision and risk management efforts to ensure compliance with IIROC’s regulatory requirements. The Report deals with current issues and challenges to be addressed by Dealer Members to improve investor protection and foster market integrity in an environment that is rapidly evolving and becoming increasingly complex.

2015-2016 Annual Compliance Priorities Report
2014-2015 Annual Consolidated Compliance Report
2013-2014 Annual Consolidated Compliance Report


 


 

Annual Exemption Report

Each year IIROC’s Board of Directors, IIROC staff and IIROC District Councils consider and, in appropriate cases, grant exemptions from specific Dealer Member or Universal Market Integrity Rules (UMIR). The criteria for granting exemptive relief are specific and rigorously applied in order to ensure that investors are protected and the integrity of the capital markets is maintained.

2015 Annual Exemption Report
2014 Annual Exemption Report
2013 Annual Exemption Report

 

 


 

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