which oversees all investment dealers and their trading activity in Canada’s debt and equity markets. IIROC sets high-quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees, and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
IIROC’s regional roots run deep. IIROC’s District Councils and policy consultative committees offer insight and invaluable input. Self-regulation helps to ensure that policies and rules keep pace with evolving markets through consultation with industry participants who are confronted by change on a daily basis. This process helps ensure that rules and policies are balanced and practical.
Serves as a forum for Chairs of the District Councils to raise and discuss matters of interest, provide input on policy initiatives and report to the IIROC Board of Directors three times a year.
Address registration and membership matters, raise issues of regional interest, and add perspective to national issues, including policy issues.
Ensure regional input into the regulatory process – an integral component of self-regulation.
Financial Administrators Section
Compliance and Legal Section
Education and Proficiency Committee
Fixed Income Committee
Market Rules Advisory Committee
Our mission is to protect investors and support healthy Canadian capital markets.
IIROC’s vision statement describes what we want to achieve over time – it is our definition of long-term success.
We will demonstrate how our self-regulatory model serves the public interest, by: