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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 Reports

Cover of the 2015-2016 Annual Report
Annual Report 2015-2016
Previous Annual Reports
IIROC Annual Report 2014-2015 (HTML, PDF)
IIROC Annual Report 2013-2014 (PDF)
IIROC Annual Report 2012-2013 (PDF)
IIROC Annual Report 2010-2011 (PDF)
IIROC Annual Report 2009–2010 (PDF)
IIROC Annual Report 2008–2009 (PDF)



Strategic Plans

IIROC Strategic Plan

IIROC Strategic Plan 2017-2019 (PDF)
IIROC 2017 Priorities (PDF)

Previous Strategic Plans
IIROC 2015-2016 Priorities (PDF)
IIROC Strategic Plan 2012-2015 (PDF)
IIROC Strategic Plan 2010-2012 (updated) (PDF)
IIROC Strategic Plan 2010-2012 (PDF)

IIROC Strategic Plan 2008 (PDF)



Enforcement Reports

Cover of the 2015 Enforcement Report
2015 Enforcement Report (PDF)
Previous Enforcement Reports
2014 Enforcement Report (PDF)
2013 Enforcement Report (PDF)
2012 Enforcement Report (PDF)




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 (PDF)
2014-2015 Annual Consolidated Compliance Report (PDF)
2013-2014 Annual Consolidated Compliance Report (PDF)



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 (PDF)
2014 Annual Exemption Report (PDF)
2013 Annual Exemption Report (PDF)




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