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Notices and Guidance

IIROC carries out its regulatory responsibilities under Recognition Orders from the provincial and territorial securities regulatory authorities that make up the Canadian Securities Administrators (CSA). IIROC is subject to oversight and regular operational reviews by CSA members.

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Results:

| 23-0001
Custodial Agreements
Rulebook: IIROC Rules
Notice type: Technical
|
Investor Alert: ZtronFX Capital Inc.
Rulebook:
Notice type: General
|
New Self-Regulatory Organization of Canada and Canadian Investor Protection Fund officially launch
Rulebook:
Notice type: General
|
FSRA continues implementation of FA/FP framework
Rulebook:
Notice type: General
| 22-0206
IIROC Sanctions CIBC World Markets Inc.
Rulebook:
Notice type: Decision
| 22-0205
IIROC to Hold Disciplinary Hearing for Catherine Elizabeth Green
Rulebook:
Notice type: Hearing
| 22-0204
IIROC Sanctions Marni Gay Harvey
Rulebook:
Notice type: Decision
| 22-0191
Amendments to the IIROC Rules and Form 1 relating to the futures segregation and portability customer protection regime
Rulebook: IIROC Rules
Notice type: Approval/Implementation
| GN-3200-22-002
Futures segregation and portability customer protection regime guidance
Rulebook: IIROC Rules
Notice type: Guidance Note
| 22-0203
IIROC Sanctions Krystal Dawn Morrison
Rulebook:
Notice type: Decision

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.

Visit the New Self-Regulatory Organization of Canada website

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