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) Best Practices IIROC Hearing Committee Best Practices for Electronic Proceedings Forms Hearing Date Request Form Pre Hearing Conference Form Hearing Summons – Alberta Hearing Summons – PEI Hearing Record Request Form Back to Rule Book