Investment Industry Regulatory Organization of Canada
The BC Securities Commission, along with Canada’s other securities regulators, has recognized the Canadian Investment Regulatory Organization (CIRO). CIRO consolidates the functions of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). CIRO oversees the investment dealers, mutual fund dealers, and the trading activity on marketplaces that have retained it to act as their regulation services provider.
This page comprises historically published documents related to IIROC which previously oversaw investment dealers and trading activity on debt and equity marketplaces in Canada.
- IIROC
- Market Regulation Services
- Investment Dealers Association
IIROC
| Document | Published |
|---|---|
Market Regulation Services
| Document | Published |
|---|---|
| Variation Order |
2008-06-01 |
| Request for Comments on Application for Recognition of New Regco |
2008-02-08 |
| Order |
2006-01-12 |
| Report of BCSC/ASC Audit of Market Regulation Services |
2005-09-16 |
| Notice of Approval |
2002-02-14 |
| Document | Published |
|---|---|
Investment Dealers Association
| Document | Published |
|---|---|
| Variation Order |
2008-06-01 |
| Request for Comments on Application for Recognition of New Regco |
2008-02-08 |
| Oversight Review Report of Investment Dealers Association of Canada |
2008-01-15 |
| IDA Pacific District Audit Report |
2003-12-16 |
| Oversight Agreement: Monthly Reporting Requirements |
2001-10-16 |
| Oversight Agreement |
2001-10-16 |
| Recognition Letter |
1987-02-04 |
| Document | Published |
|---|---|