Guides and Resources

IIROC published resources to help Dealers protect themselves and their clients against cyber threats and attacks:

  • The Cybersecurity Self-Assessment Tool was developed by IIROC to help small and medium-sized IIROC firms identify areas of strength and weakness based on the information security practices. Request a copy of the tool by filling out this form.
  • The Cybersecurity Best Practices Guide (pdf) provides an enterprise-wide risk-based framework of industry standards and best practices that Dealers can apply to heighten awareness and manage cyber risks in an evolving environment.
  • The Cyber Incident Management Planning Guide (pdf) is a complementary tool for Dealers to prepare effective response plans for cyber threats and attacks.
  • The IIROC Cyber Program Governance Guide (pdf) is intended to provide IIROC dealer members with explicit guidance on how best to implement, manage and advance a cybersecurity program. This document should be read in conjunction with the previous guides. This Guide reflects the experience gained by both IIROC and dealer members in developing and implementing programs to counter cyber threats.
  • Fundamentals of Technology Risk Management (pdf) is a guide to help mainly small and medium-sized IIROC firms take the first steps towards assessing and managing technology risk. This guide provides some helpful information to IIROC firms on how to begin building a technology risk management program.

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 and