Proposed alternative forms of disciplinary action
IIROC is launching an extensive public consultation on two new disciplinary approaches dealing with minor violations of IIROC rules and the resolution of disciplinary cases.
Strengthening IIROC's legal authority
IIROC is currently working with the provinces and our regulatory partners in pursuit of additional legal authority to strengthen the effectiveness of its enforcement actions.
Working with other regulators to protect investors
IIROC has signed agreements with other regulators to help prevent individuals disciplined for wrongdoing from simply moving to a new jurisdiction or switching designations to hide offences.
IIROC’s Whistleblower Service
IIROC’s Whistleblower Service has been established to receive, evaluate and take prompt and effective action on reported first-hand knowledge or tangible evidence of potential systemic wrongdoing, potential securities frauds or unethical behaviour by IIROC-regulated individuals or firms.
Calendar of Disciplinary Hearings
IIROC conducts disciplinary proceedings before Hearing Panels. The list of scheduled hearings is updated weekly.
Additional information about Enforcement
