Enforcement plays a key role in IIROC's pursuit to protect investors and support healthy capital markets.
For more information, see our Guide to Hearings and our annual Enforcement Report.
By searching for an enforcement proceeding below, you can view the notices and decisions associated with an active proceeding or the IIROC Hearing Panel decisions associated with a concluded proceeding.
In addition, IIROC Hearing Panel reasons issued since June 2008 are available free of charge on CanLii (the Canadian Legal Information Institute).
Enforcement Notice News Releases
| 23-0133
Notice type: Decision| 23-0127
Notice type: Decision| 23-0125
Notice type: Hearing
Filter enforcement proceedings by...
Date Commenced
Date Concluded
Outcome
Fine $10,000; Costs $1,000; Suspension; Conditions
Date Commenced
Date Concluded
Outcome
Fine $10,000; Disgorgement $32,785.72; Costs 2,500
Date Commenced
Date Concluded
Outcome
Fine $2,468,974; Costs $10,000; Permanent Bar; Conditions