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Enforcement

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

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First Leaside Securities Inc.
Date Commenced
Date Concluded
Outcome
Termination
National Bank Financial Inc.
Date Commenced
Date Concluded
Outcome
Fine $250,000; Costs $40,000
Sweeney, Tiffany
Date Commenced
Date Concluded
Outcome
Fine $50,000; Costs $15,000; Disgorgement $28,806; Suspension
MD Management Limited
Date Commenced
Date Concluded
Outcome
Fine $200,000; Costs $25,000
MF Global Canada Co.
Date Commenced
Date Concluded
Outcome
Termination
RBC Dominion Securities Inc.
Date Commenced
Date Concluded
Outcome
Fine $140,000; Costs $22,500
Fairclough (Woods), Nancy
Date Commenced
Date Concluded
Outcome
Fine $17,500; Costs $5,000
Wong, Albert Ying Yuen
Date Commenced
Date Concluded
Outcome
Fine $10,000; Costs $1,000; Suspension; Conditions

Welcome to CIRO.ca!

We have a new look! Today is the first day you can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.

Visit the Canadian Investment Regulatory Organization website

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