Investment Industry Regulatory Organization of Canada information
Investment Industry Regulatory Organization of Canada
L’Organisme canadien de réglementation du commerce des valeurs mobilières
Abbreviation
IIROC/OCRCVM
Formation
2008
Type
Organizations based in Canada
Legal status
active
Purpose
Monitors members for securities law compliance; enforces securities regulations through quasi-judicial proceedings
Headquarters
Suite 2000, 121 King Street West, Toronto, Ontario, Canada
Region served
Canada
Official language
English, French
CEO, President
Andrew J. Kriegler[1]
Chair
Paul D. Allison[1]
Budget
C$101.237M (FY 2020)
Website
https://www.iiroc.ca/
The Investment Industry Regulatory Organization of Canada (IIROC; Organisme canadien de réglementation du commerce des valeurs mobilières or OCRCVM in French) is a non-profit, national self-regulatory organization (SRO). Established through the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS) on June 1, 2008,[2] IIROC oversees all investment dealers and trading activity on debt and equity markets in Canada.
The organization sets regulatory and investment industry standards and has quasi-judicial powers in that it holds enforcement hearings and has the power to suspend, fine and expel members and registered representatives, such as advisors.[3] However, it has often been criticized by investor advocates as ineffective.[4]
^ ab"IIROC's Board of Directors". www.iiroc.ca. Archived from the original on 2019-09-23. Retrieved 2019-09-23.
^"Self-regulatory organizations (SROs)". Ontario Securities Commission. Archived from the original on 2008-10-11. Retrieved 2008-08-20.
^Betts-Willmott, Kate (2008-07-31). "IIROC imposes $2 million fine on TD Waterhouse". Investment Executive. Archived from the original on 2011-07-13. Retrieved 2008-08-14.
^Norris, Gary (2007-02-12). "Advocate flouts regulator". The Canadian Press. Retrieved 2008-08-14.
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