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

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 and