The Universal Market Integrity Rules (UMIR) set out the requirements applicable to IIROC Participant Dealer Members, Access Persons and Marketplaces for securities related trading activities on all marketplaces that we regulate.
UMIR, together with the IIROC Rules that govern the activities of investment firms, comprise IIROC's regulatory framework.
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Top Rules for Compliance
Gatekeeper Obligations of Directors, Officers and Employees of Participants and Access Persons