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, 2019IIROC proposes more flexible, proportionate disciplinary actions for enforcementIIROC News Release
Request for Comment – Minor Contravention Program and Early Resolution OffersIIROC Rules Notice 19-0076
February 22, 2018IIROC invites public comment on potential new disciplinary optionsIIROC News Release
Alternative forms of disciplinary actionBackgrounder
Request for Comment – Enforcement Alternative Forms of Disciplinary ActionIIROC Rules Notice 18-0045
March 6, 2018 to May 24, 2018Comments received
November 7, 2018Download the investor survey in PDF format (34 pages, 1MB)
