IIROC’s Proposal to Consolidate IIROC and MFDA

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IIROC’s Proposal to Consolidate IIROC and MFDA

IMPROVING SELF-REGULATION FOR CANADIANS
Consolidating the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA)

Qualitative Research Among MFDA Advisors

A 360 Review of Issues and Concerns Related to the Canadian Investment Marketplace: A Consultation Among MFDA and Dual-Platform Dealers

An Assessment of Benefits and Costs of Self-Regulatory Organization Consolidation

CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework

IIROC Response to the Canadian Securities Administrators Consultation on the Self-Regulatory Organization Framework

Capital Markets Modernization Taskforce, Final Report, January 2021

Read the news releases

February 22, 2021
IIROC responds to CSA’s statement on progress towards a new self-regulatory organization framework

November 5, 2020
Independent Studies Show Investment Industry Strives to Provide Comprehensive Financial Advice to Best Serve Canadians but Regulatory Burden and Silos Create Unnecessary Challenges

August 25, 2020
Consolidating IIROC and MFDA would save up to half a billion dollars and enhance investor protection

July 9, 2020
IIROC welcomes report from Ontario's Capital Markets Modernization Taskforce

IIROC submissions to Ontario's Capital Markets Modernization Taskforce (September 7, 2020)

Hansell LLP Advice to IIROC's Independent Directors

June 25, 2020
IIROC welcomes the CSA’s public consultation and review of IIROC and MFDA regulatory framework

IIROC Response to the Canadian Securities Administrators Consultation on the Self‐Regulatory Organization Framework

June 9, 2020
IIROC calls for consolidation of self-regulators to better serve and protect Canadians

Research and Outreach

Investor Awareness Tracking Survey (May 2020)

Access to Advice

News release: More than half of Canadians surveyed who don't invest say it's because they lack knowledge and confidence

News release: Majority of Canadians surveyed want access to financial products and services from one place

News release: Majority of Canadian investors surveyed want investment advice from a regulated source

Enabling the Evolution of Advice

Enhance delivery of value within the Canadian regulatory framework

Debt Information Processor

Debt/Bond Market Transparency

CSA Expands IIROC's role as Information Processor for Debt Securities

IIROC to enhance debt market transparency in expanded information processor role

IIROC launches next phase, expanding corporate debt transparency

Bank of Canada: Debt Statistics

IIROC to assume responsibility for Debt Statistics reporting

Bankers’ Acceptance Rate

IIROC to Begin Publishing Bankers’ Acceptance Rates

Nasdaq SMARTS

IIROC and Nasdaq unveil state-of-the-art market surveillance technology to enhance oversight of Canada’s capital markets

IIROC Backgrounder: Enhanced Market Surveillance System – Nasdaq SMARTS

CORRA

IIROC congratulates Bank of Canada on the implementation of its role as administrator of CORR

FINTRAC anti-money laundering MOU

IIROC and FINTRAC enhance cooperation to protect against money laundering

Previous IIROC Policy Proposals

White Paper: Proficiency Upgrade Requirements and Directed Commissions

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