• Qualitative Research Among MFDA Advisors (pdf)
• A 360 Review of Issues and Concerns Related to the Canadian Investment Marketplace: A Consultation Among MFDA and Dual-Platform Dealers (pdf)
• An Assessment of Benefits and Costs of Self-Regulatory Organization Consolidation (pdf)
• 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 (pdf)
• Capital Markets Modernization Taskforce, Final Report, January 2021 (pdf)

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)
  • IIROC Management Response (pdf)
  • Independent Directors Response (pdf)
  • Hansell LLP Advice to IIROC's Independent Directors (pdf)
• 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 (pdf)
• June 9, 2020 - IIROC calls for consolidation of self-regulators to better serve and protect Canadians

Research and Outreach

Investor Awareness Tracking Survey (pdf) (May 2020)

Access to Advice (pdf)

• 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

• 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