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Alternative Discipline Proposals

IIROC has launched an extensive public consultation on two new disciplinary approaches dealing with minor violations of IIROC rules and the early resolution of disciplinary cases.

Related documents

April 25, 2019
IIROC proposes more flexible, proportionate disciplinary actions for enforcement
IIROC News Release

Request for Comment – Minor Contravention Program and Early Resolution Offers
IIROC Rules Notice 19-0076

February 22, 2018
IIROC invites public comment on potential new disciplinary options
IIROC News Release

Alternative forms of disciplinary action

Request for Comment – Enforcement Alternative Forms of Disciplinary Action
IIROC Rules Notice 18-0045



March 6, 2018 to May 24, 2018
Comments received



November 7, 2018
Download the investor survey in PDF format (34 pages, 1MB)

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