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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:

| 22-0202
IIROC to Hold Disciplinary Hearing for Robert Barber
Rulebook:
Notice type: Hearing
| 22-0200
List of foreign exchange (FX) spot risk margin rates for Canadian and U.S. base currency accounts
Rulebook: IIROC Rules
Notice type: Technical
|
Investor Alert: Emperior-Trade
Rulebook:
Notice type: General
| 22-0201
Regulatory Filing Deadlines
Rulebook:
Notice type: General
| 22-0196
List of floating and tracking error margin rates for qualifying Canadian and U.S. index products
Rulebook: IIROC Rules
Notice type: Technical
| 22-0198
New SRO Dual Registration Questionnaire
Rulebook:
Notice type: General
| 22-0199
IIROC Sanctions R. J. O’Brien & Associates Canada Inc.
Rulebook:
Notice type: Decision
|
CSA and IIROC seek input on regulatory framework for short selling in Canada
Rulebook:
Notice type: General
| 22-0190
IIROC Failed Trade Study
Rulebook: UMIR
Notice type: General
| 22-0189
Joint CSA/IIROC Staff Notice 23-329 – Short Selling in Canada
Rulebook: IIROC Rules, UMIR
Notice type: Guidance Note

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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