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)