IIROC sets standards for Canada’s investment industry, ensuring market integrity and investor protection.

• Licensing: Requires firms and advisors to meet qualification standards.
• Supervision: Mandates compliance monitoring.
• Market Conduct: Enforces fair trading practices.

Established in 2008, IIROC has continuously evolved to meet emerging regulatory challenges.

• Penalties: Firms may face fines for failing to adhere to regulations.
• Operational Risks: Non-compliance may lead to increased scrutiny or suspension.
• Reputational Damage: Violations can erode investor confidence.

• Market Integrity: Promotes fair and transparent trading practices.
• Investor Trust: Ensures protection and builds confidence.
• Regulatory Alignment: Demonstrates adherence to Canadian financial laws.