KEY FACTS



OVERSEES
187 members and
28,264 approved persons


Completed
146 enforcement investigations
58 disciplinary hearings including settlement hearings


Assessed
$3,521,000
in fines (excluding costs and disgorgement) against firms and individuals


Issued
22 suspensions
10 permanent bans


Monitored
431,000,000
trades on five stock exchanges*and eight equity Alternative Trading Systems**

* includes Aequitas Neo Exchange, which launched March 27, 2015
** excludes Bloomberg Tradebook Canada.



Coordinated
1,259trading halts and
99cease trade orders


triggered
13 Single Stock Circuit Breakers


Intervened by
varying or cancelling trades 42 times, affecting 15,699 transactions


Conducted
231+
on-site Business Conduct, Financial and Operations and Trading Conduct compliance firm reviews

+ In addition, IIROC staff conducted 23 Integrated on-site compliance firm reviews.



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