Highlights of IIROC’s 2021 – 22 Enforcement Report


Continuing Education Credit

Compliance CE credit : 0.5

Register here

More Details

Enforcement plays a key role in our pursuit to protect investors and support healthy capital markets across Canada. IIROC’s Enforcement team is committed to pursuing cases that prevent future wrongdoing and improve industry standards and practices.

The webcast features Charles Corlett, IIROC’s Vice-President, Enforcement, Andrew Werbowski, IIROC’s Director, Enforcement Litigation, and Joanna Nicholson, IIROC’s Manager, Public Affairs as the moderator. In this session, participants will:

  • Provide an overview of enforcement’s priorities and goals;
  • Discuss key achievements and results; and
  • Touch upon some of the themes of the cases highlighted in the Enforcement Report.

Program Details

Back to Continuing Education

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.