Message from the Chair
Responded through IIROC’s Complaints and Inquiries department, which includes front-line staff in Calgary, Toronto, Vancouver and Montreal
The market surveillance team successfully conducted surveillance remotely during a time when market volumes were setting records twice what they had ever been before, which demonstrated the organization’s operational resilience and adaptability.
Report from the President and CEO
Although this past year has been punctuated with uncertainty, IIROC has continued to provide regulation without interruption, and that is largely because of our people—my colleagues at IIROC, our members and stakeholders.
3 Annual Virtual Conferences with
After a very difficult period, it is time for some optimism. Canada is turning the page to a post-pandemic future and that bodes well for our economy and for the financial future of Canadians.
By the numbers
(operating 10 separate venues) and 5 equity
Alternative Trading Systems
IIROC Enforcement’s current legal authority and protections
IIROC has made significant progress in the following jurisdictions to strengthen investor protection:
Click on the map for an interactive experience.
- Authority to collect fines
- Collect and present evidence
- Statutory immunity
|Province / Territory||Date / Legal authority|
|Yukon||November 2018: collect fines and collect/present evidence|
|Northwest Territories||November 2018: collect fines and collect/present evidence|
|Nunavut||November 2018: collect fines and collect/present evidence|
|British Columbia||May 2018: collect fines|
|Alberta||June 2000: collect fines
June 2017: collect/present evidence and statutory immunity
|Saskatchewan||May 2019: collect fines|
|Manitoba||June 2018: collect fines and statutory immunity|
|Ontario||May 2017: collect fines|
|Quebec||June 2013: collect fines
June 2018: collect/present evidence and statutory immunity
|New Brunswick||December 2019: collect fines, collect/present evidence and statutory immunity|
|Nova Scotia||October 2018: collect fines, collect/present evidence and statutory immunity|
|Prince Edward Island||January 2017: collect fines
December 2018: collect/present evidence and statutory immunity