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Members

IIROC oversees the registration of firms and individuals who provide advice and conduct securities trading in Canada. These firms must register as Dealer Members. In addition, any Canadian marketplace for equity and debt trading activity must also become a Marketplace Member. Note that firms operating as Alternative Trading Systems must also become Dealer Members in addition to being Marketplace Members.

IIROC also monitors the financial and operations, business conduct, and trading conduct compliance of registered individuals and Dealer Members. Using a risk-based approach, we schedule and conduct examinations of Dealer Members to assess and ensure compliance of firms and their registered individuals with the relevant IIROC rules, UMIR rules, and securities legislation.  

Each year, IIROC issues a Compliance Priorities Report. This report highlights IIROC’s areas of focus including common exam deficiencies and emerging issues to help Dealer Members and registered individuals establish and maintain a strong culture of compliance.
 

Members landing page image- group of people in a meeting sitting around computers

Welcome to CIRO.ca!

We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.

Visit the Canadian Investment Regulatory Organization website