Welcome to IIROC

The Investment Industry Regulatory Organization of Canada is the pan‑Canadian self‑regulatory organization that oversees all investment dealers and trading activity on Canada’s debt and equity marketplaces.

IIROC is committed to protecting investors, protecting market integrity, and building Canadians’ trust in financial regulation and the people managing their investments.

New to IIROC?
Learn about how we protect investors and support healthy Canadian capital markets.

CSA announces next steps to become one new self-regulated organization (SRO)

The CSA has led a thoughtful and deliberate consultation on the appropriate framework for self-regulation. This work is important to Canadians and their financial futures.

The Canadian Securities Administrators published documents for public comment on:

New Interim Rules (Investment Dealer and partially consolidated rules, Mutual Fund Dealer Interim Rules, UMIR)
Recognition Order by the CSA
Application for Recognition by the SRO
Memorandum of Understanding
New SRO by-law
Investor Advisory Panel Terms of Reference

You can find the documents on the CSA website. You can also find Frequently Asked Questions on the New Interim Rules and the Investor Advisory Panel here in the links provided.

Improving Self-Regulation for Canadians

IIROC Highlights

Helping Members Navigate the IIROC Rules and Guidance Notes

IIROC’s Member Regulation Policy team has created a webcast to demonstrate how to navigate the updated Guidance Notes and other key resources related to the IIROC Rules, which came into effect December 31, 2021.

New Webcast: Highlights of IIROC’s 2021 – 22 Compliance Priorities Report

This webcast highlights IIROC’s Compliance Priorities Report, aimed to help firms address issues they should focus on to protect investors and support healthy Canadian Capital markets.

Improving Self-Regulation for Canadians

A new, enhanced, pan-Canadian SRO which consolidates the efforts of IIROC and the MFDA will increase access to advice while better-protecting investors and is precisely what Canadians and the industry that serves them deserve.  