Rules and Enforcement

IIROC sets and enforces proficiency, business and financial conduct rules for all Canadian investment dealers and their registered individuals and market integrity rules relating to trading activity on the Canadian marketplaces we regulate. Our rules set high standards for protecting investors and market integrity. Our rules, together with effective enforcement, help to enhance investor confidence in the financial services industry and support healthy capital markets.

Rules and Enforcements

Welcome to!

You can find the Canadian Investment Regulatory Organization (CIRO) at with our fresh look and feel.

The following sections of the legacy and sites have been migrated to

  • Enforcement
  • Hearings
  • Consultations
  • A unified member directory (Dealers We Regulate)
  • Advisor Report

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