Enforcement Reports

Enforcement plays a key role in IIROC’s pursuit to protect investors and support healthy capital markets across Canada. The Enforcement team is responsible for the enforcement of IIROC’s Rules relating to the sales, business and financial conduct of its Dealer Members and their registered employees, as well as the Universal Market Integrity Rules (UMIR) relating to trading activity on all Canadian debt and equity marketplaces.

These reports look back on past years’ activities and achievements and update the public on IIROC’s key priorities.