KEY FACTS


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OVERSEES
28,704 Approved Persons and
180 Member Firms


Monitored
431,939,574
Trades on 5 stock exchanges and 8* equity Alternative Trading Systems



Monitored
1,069,560
bond transactions and

128,085
money market transactions representing retail and institutional transactions reported by Government Securities Distributors (GSDs) who are IIROC Dealer Members


Relayed
283,982
Repurchase ("REPO") transactions to The Bank of Canada


Intervened
by varying or cancelling trades 32 times affecting 1,526 transactions


Coordinated
1,135 trading halts and
123 cease trade orders


Triggered
34 Single Stock Circuit Breakers


Conducted
260
on-site Business Conduct, Financial and Operations and Trading Conduct compliance firm reviews



Responded To
2,123
inquiries and complaints related to member conduct and
580
trading-related inquiries and complaints from investors


Completed
132
enforcement investigations and
45
disciplinary hearings including settlement hearings


Issued
22 Δ suspensions and
4 permanent bans


Assessed
$2,399,069
in discipline penalties against individuals and

$1,547,500
in discipline penalties against firms


Collected**
$373,680
of discipline penalties against individuals , representing16% of fines assessed and

$1,343,150
of discipline penalties against firms , representing 87% of fines assessed


Generated
453,571
page views on the IIROC website
42,271
reports on advisors based on requests from IIROC website users

Produced
13
new educational webcasts with
8,150
total views of all existing webcasts


Hosted
6
live events attended by
925
industry participants



*   Excludes Bloomberg Tradebook Canada and includes TMX Select
   For the five-month period from November 1, 2015 (when Phase 1 of IIROC’s Debt Transaction Reporting Rule took effect) to March 31, 2016
   Includes fines, disgorgements and investigation costs
Δ  19 suspensions against individuals and 3 suspensions against firms
   In addition, IIROC staff conducted 16 integrated on-site compliance firm reviews.
**  Amounts collected in 2015-2016 in respect of fines assessed in 2015-2016

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