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IIROC Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules)



IIROC's Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) are a consolidated set of rules relating to:

  • standards of conduct;
  • enforcement investigation;
  • enforcement proceedings;
  • hearing committees;
  • rules of practice and procedure;
  • compliance examination approvals and regulatory supervision;
  • regulatory review proceedings; and
  • procedures for opportunity to be heard.

 

1000 Series – Definitions and Interpretation

Rule 1200 – Definitions

Rule 1400 – Standards of Conduct

8000 Series – Procedural Rules - Enforcement

Rule 8100 – Enforcement Investigations

Rule 8200 – Enforcement Proceedings

Rule 8300 – Hearing Committees

Rule 8400 – Rules of Practice and Procedure

9000 Series – Procedural Rules - Other

Rule 9100 – Compliance Examinations

Rule 9200 – Approvals and Regulatory Supervision

Rule 9300 – Regulatory Review Proceedings

Rule 9400 – Procedures for Opportunities to be Heard

Full text version of IIROC Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules)

Forms

Hearing Date Request Form

Pre Hearing Conference Form

Hearing Summons – Alberta

Hearing Summons – PEI


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