Site Map

About IIROC Governance Board of Directors Board Committees Nominees to Other Boards Executive Management District Councils IIROC Advisory Committees Investors Choosing an Advisor Advantages of Using an IIROC-Registered Advisor Take Action: Questions You Should Ask Know Your Advisor: IIROC AdvisorReport AdvisorReport FAQ Search Outside IIROC AdvisorReport Understanding Financial Certifications Making A Complaint How the IIROC Complaints Process Works How IIROC-Regulated Firms Must Deal With Complaints Complaints & Inquiries Statistics Getting Your Money Back Arbitration Statistics Investor Education Investment Basics Typical Financial Scams Improving Self-Regulation for Canadians COVID-19 Unpaid Fines Report Investor Bulletins Brochures and Investment Resources for Investors News & Publications News Releases Halts & Resumptions / Cease Trade Orders Calendar of Disciplinary Hearings Submissions and Letters Studies and Presentations Annual Reports & Strategic Plan Regulatory and Investing Links ePublications Executive Speeches Notices Industry Improving Self-Regulation for Canadians COVID-19 COVID-19 FAQs (as of August 10, 2020) Links to Other Resources Investors Registration & Membership Becoming a Registered or Approved Individual Becoming a Regulated Dealer Becoming a Regulated Marketplace Rule Book Universal Market Integrity Rules (UMIR) Dealer Member Regulatory Resources IIROC Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) Highly-Liquid-Stocks SSC-Breakers List of floating and tracking error margin rates for qualifying Canadian and U.S. index products Continuing Education Rules Industry Compliance Sanctions Reporting System Enforcement The Enforcement Process Penalties: What A Panel Can Impose IIROC Guide to Enforcement Proceedings Enforcement Statistics Search Disciplinary Cases Enforcement Mediation Program IIROC’s Whistleblower Service Alternative Discipline Proposals Market Monitoring & Analysis Statistics and Information Check Bond Trading Activity Surveillance of Equity Trading Surveillance of Debt Trading How We Review and Analyze Equity Trading Trading Halts & Timely Disclosure Surveillance Contacts Canadian Bankers’ Acceptance (BA) Rates Policy Proposals for Regulation Continuing Education Webcast Catalogue and Program Details Continuing Education – FAQs Member Resources Business Continuity Membership Disclosure IIROC Brochures IIROC Official Logo Cybersecurity Cybersecurity Incident Reporting Summary Self-assessment Surveys Site Visits Table-top Exercises Guides and Resources Cybersecurity News Releases Cybersecurity Webinars Helpful Links Enabling the Evolution of Advice in Canada Foreword: Enabling the evolution of advice in Canada Investors are changing The industry is transforming in response Emerging digital business models and tools Innovation headwinds in Canada Opportunities to enhance engagement Looking Ahead About the consultation Client Identifiers Timelines and Implementation Milestones Frequently Asked Questions Technical Specifications Legal Entity Identifiers Glossary of Terms Dealers We Regulate Dealer Member Rules Dealer Member Regulatory Resources