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.
2016-2017 Annual Compliance Priorities Report (PDF)
2015-2016 Annual Compliance Priorities Report (PDF)
2014-2015 Annual Consolidated Compliance Report (PDF)
2013-2014 Annual Consolidated Compliance Report (PDF)