COVID-19


COVID-19 Summary: The health and safety of all market participants is of paramount importance to IIROC. In response to the risks associated with the COVID-19 pandemic, IIROC and its investment firms have triggered business continuity plans and are dealing with the effects on client service and regulatory obligations. At IIROC, we will continue to work with investment firms and be flexible in our approach while protecting investors and the integrity of our capital markets. News Releases and Media Statements: January 13, 2021 COVID-19: Essential Services Update May 1, 2020; Market Surveillance System – Nasdaq SMARTS April 16, 2020 IIROC extends implementation of its Plain Language Rulebook April 9, 2020 Joint statement by CSA and IIROC on recent volatility in Canadian equity markets March 26, 2020 BC capital markets including all dealers and advisers declared essential services during COVID-19 pandemic March 24, 2020 Essential Services Update March 20, 2020 COVID-19: IIROC Offices Update June 20, 2016; Additional Guidance Respecting Single-Stock Circuit Breakers and Marketplace Thresholds More+ Regulation & Compliance: As a result of the COVID-19 coronavirus, IIROC's offices are closed with all staff working from home. IIROC continues to carry out all critical and core regulatory responsibilities with some changes. December 21, 2020 Business locations - Registration and Compliance approach to work from home arrangements August 10, 2020 COVID-19 FAQs May 14, 2020 COVID-19 and Cybersecurity – Remote Access Services May 8, 2020 IIROC Communique to Dealer Members April 21, 2020 COVID-19 and Cybersecurity – Tips for Advisors and Employees April 14, 2020 Deferral of IIROC fees payable by small and medium-sized Dealer Members March 30, 2020 COVID-19 and Cybersecurity March 16, 2020 IIROC Communique to Dealer Members March 10, 2020 Guidance on COVID-19 More+ Exemptions: February 2, 2021 Covid-19 Related Exemptive Relief Applications Received and Exemptions Granted to January 31, 2021 January 5, 2021 Covid-19 Related Exemptive Relief Applications Received and Exemptions Granted to December 31, 2020 December 3, 2020 Covid-19 Related Exemptive Relief Applications Received and Exemptions Granted to November 30, 2020 November 4, 2020 Covid-19 Related Exemptive Relief Applications Received and Exemptions Granted to October 31, 2020 October 9, 2020 Extension of Covid-19 Related Exemptive Relief Process and Applications Received and Exemptions Granted to September 30, 2020 October 9, 2020 Extension of Covid-19 Related Exemptive Relief Process and Applications Received and Exemptions Granted to September 30, 2020 Sep 3, 2020 COVID-19 Related Exemptive Relief Applications Received and Exemptions Granted to August 31, 2020 Aug 7, 2020 COVID-19 Related Exemptive Relief Applications Received and Exemptions Granted to July 31, 2020 July 8, 2020 Extension of Covid-19 Related Exemptive Relief Process and Applications Received and Exemptions Granted to June 30, 2020 June 5, 2020 COVID-19 Related Exemptions from IIROC Rules – Applications Received and Exemptions Granted to May 31, 2020 May 6, 2020 COVID-19 Related Exemptions from IIROC Rules – Applications Received and Exemptions Granted to April 30, 2020 April 23, 2020 COVID-19 Related Exemptions from IIROC Rules – Applications Received and Exemptions Granted March 31, 2020 COVID-19 Related Exemptions from IIROC Rules More+ Canadian Investor Protection Fund April 15, 2020 CIPF's Board of Directors Suspends the 2020 Filing of the Statement of Member Assets by Location Canadian Investor Protection Fund (CIPF) CIPF Investor Series Links to Other Resources: Links to information and guidance. (For Quebec Only) Employer's certificate - Travel during the decreed curfew by the government of Quebec Additional Reading: Confinement in Québec CSI introduces remote proctoring CSI is changing how it conducts and delivers exams. Students can book tests in more locations, or have the option of remote proctoring. The Osgoode Investor Protection Clinic has published a Retail Investors Guide to COVID-19. Financial Relief Navigator Learn about the help you can get to raise your income or lower your expenses in these challenging times. Investors: Helpful information for investors. May 7, 2020 Investor Bulletin: COVID-19 and Cybersecurity – Tips for Investors Disciplinary Hearings: (Updated) IIROC will not hold in-person disciplinary hearings until further notice. Hearings, where feasible and appropriate, may proceed by way of videoconference, teleconference or in writing. Where a hearing is scheduled to proceed and is open to the public, the public may contact the National Hearing Coordinator at [email protected] for further details. Guidance on electronic proceedings can be found in the IIROC Hearing Committee Best Practices for Electronic Proceedings. Contact Us