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  • About IIROC

    A pan-Canadian, self-regulatory organization committed to protecting investors, market integrity and Canadians’ trust.

    About IIROC‌

    A pan-Canadian, self-regulatory organization committed to protecting investors, market integrity and Canadians’ trust.

    • IIROC FAQ
    • What We Do
    • Executive Management Team
    • Board of Directors
    • Careers
    • Governance & Bylaws
    • Nominees to Other Boards
    • District Councils
    • Board Committees
    • Advisory Committees
  • Investors

    Find the right advisor, make a complaint, or learn investment basics.

    Investors‌

    Find the right advisor, make a complaint, or learn investment basics.

    • Dealers We Regulate
    • Know Your Advisor: IIROC Advisor Report
    • Choosing an Investment Advisor
    • Looking up an Investment Advisor or Firm
    • How to Make a Complaint
    • Investor Alerts
    • Learning the Basics and Protecting Your Investments
    • Investor Brochures, Bulletins & Other Resources
  • Markets

    How we protect investors and ensure the integrity of markets in Canada.

    Markets‌

    How we protect investors and ensure the integrity of markets in Canada.

    • Markets We Regulate
    • Trade Surveillance
    • Canadian Bankers’ Acceptance Rates
    • Corporate and Government Bond Information
    • Reports, Statistics and Other Information
  • Rules and Enforcement

    Find information about policy, rules for our member community and enforcement.

    Rules and Enforcement‌

    Find information about policy, rules for our member community and enforcement.

    • Policy Priorities
    • IIROC Rules
    • UMIR Rules
    • Dealer Member Rules (repealed December 31, 2021)
    • Enforcement
    • Whistleblower Service
  • Members

    Resources for our Dealer Members and Marketplace Members.

    Members‌

    Resources for our Dealer Members and Marketplace Members.

    • Becoming a Regulated Dealer
    • Becoming a Registered Individual
    • Becoming a Regulated Marketplace
    • Continuing Education
    • Fee Models
    • Dealer Member Compliance
    • Cybersecurity & Technology
    • Client Identifiers
    • Forms and Templates
  • News and Publications

    Discover the latest notices, publications, media releases, and halts and resumptions issued by IIROC.

    News and Publications‌

    Discover the latest notices, publications, media releases, and halts and resumptions issued by IIROC.

    • News Releases
    • Halts and Resumptions
    • Annual Reports
    • Strategic Plans and Annual Priorities
    • Enforcement Reports
    • Compliance Priorities
    • Exemptions Reports
    • Notices and Guidance
    • Consultations
    • Regulatory and Investing Links
    • Registration Review Hearings
    • ePublications
    • COVID-19
    • Enabling the Evolution of Advice in Canada
    • Improving Self-Regulation for Canadians
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  3. Strategic Plans and Annual Priorities

Strategic Plans and Annual Priorities

IIROC’s strategic plan serves as a roadmap to achieving our mission, while addressing changes that impact both investors and the industry. These plans highlight our response to new industry and market realities as we assess new trends, needs and priorities.

  • IIROC Priorities for 2022
  • IIROC Priorities for 2021
  • Three-Year Strategic Plan and 2020 Priorities
  • IIROC Strategic Plan 2017-2019

In this section

Strategic Plans and Annual Priorities

  • News and Publications
    • News Releases
    • Halts and Resumptions
    • Annual Reports
    • Strategic Plans and Annual Priorities
    • Enforcement Reports
    • Compliance Priorities
    • Exemptions Reports
    • Notices and Guidance
    • Consultations
    • Regulatory and Investing Links
    • Registration Review Hearings
    • ePublications
    • COVID-19
    • Enabling the Evolution of Advice in Canada
    • Improving Self-Regulation for Canadians
IIROC

Other IIROC Sites:

  • Corporate and Government Debt Trade Information
  • IIROC Services
  • Notice of Basis Order
  • Website Terms of Use
  • Privacy
  • Social Media Terms of Use
  • Accessibility (pdf)
  • About IIROC
    • IIROC FAQ
    • What We Do
    • Executive Management Team
      • Laura McNeil
    • Board of Directors
      • Debra Doucette
      • Edward Iacobucci
      • Edward Iacobucci
    • Careers
    • Governance & Bylaws
    • Nominees to Other Boards
    • District Councils
    • Board Committees
    • Advisory Committees
  • Investors
    • Dealers We Regulate
    • Know Your Advisor: IIROC Advisor Report
    • Choosing an Investment Advisor
    • Looking up an Investment Advisor or Firm
      • Search outside IIROC
    • How to Make a Complaint
    • Investor Alerts
    • Learning the Basics and Protecting Your Investments
      • External Investment Resources for Seniors
      • Tips to Spot and Prevent Fraud
      • Tips to Spot and Prevent Fraud
      • Understanding Financial Certifications
    • Investor Brochures, Bulletins & Other Resources
      • Investor Bulletins
      • Brochures and Investment Resources for Investors
  • Markets
    • Markets We Regulate
    • Trade Surveillance
      • Surveillance Contacts
      • Trading Halts & Timely Disclosure
      • Cease Trade Orders
      • SMARTS Platform
    • Canadian Bankers’ Acceptance Rates
    • Corporate and Government Bond Information
    • Reports, Statistics and Other Information
      • Monthly Client Debt Margin
  • Rules and Enforcement
    • Policy Priorities
    • IIROC Rules
      • Helping Members Navigate the IIROC Rules and Guidance Notes
    • UMIR Rules
    • Dealer Member Rules (repealed December 31, 2021)
    • Enforcement
      • Guide to Enforcement Proceedings
      • Mediation
      • Statistics
      • Unpaid Fines Report
      • Best Practices For The Use Of Case Center In IIROC Proceedings (March 2022)
      • Case Center for IIROC Hearings – FAQs and Tips for Counsel and Self-Represented Individuals
    • Whistleblower Service
  • Members
    • Becoming a Regulated Dealer
    • Becoming a Registered Individual
    • Becoming a Regulated Marketplace
      • Frequently Asked Questions about the National Registration Database (NRD)
    • Continuing Education
      • Webcast Catalogue
    • Fee Models
    • Dealer Member Compliance
      • Compliance Reviews and Reports
      • Sanctions Reporting
      • OEO Trailer Ban
      • 2021 INDUSTRY BUSINESS CONTINUITY PLANNING (BCP) TEST FAQ
    • Cybersecurity & Technology
    • Client Identifiers
    • Forms and Templates
  • News and Publications
    • News Releases
    • Halts and Resumptions
      • Market Volatility
    • Annual Reports
    • Strategic Plans and Annual Priorities
    • Enforcement Reports
    • Compliance Priorities
    • Exemptions Reports
    • Notices and Guidance
    • Consultations
    • Regulatory and Investing Links
    • Registration Review Hearings
    • ePublications
    • COVID-19
    • Enabling the Evolution of Advice in Canada
      • Foreword: Enabling the evolution of advice in Canada
      • Investors are changing
      • Foreword
      • The industry is transforming in response
      • Emerging digital business models and tools
      • Innovation headwinds in Canada
      • Opportunities to enhance engagement
      • Looking Ahead
      • About the consultation
    • Improving Self-Regulation for Canadians