Investment Industry Regulatory Organization of Canada

The Investment Industry Regulatory Organization of Canada (IIROC) oversees investment dealers and trading activity on debt and equity marketplaces in Canada.

The British Columbia Securities Commission has recognized IIROC as a self-regulatory body in BC.

The BCSC has published the following documents related to the Investment Industry Regulatory Organization of Canada.

Visit the Investment Industry Regulatory Organization of Canada (IIROC) for additional rules and guidance applicable to IIROC members.

IIROC

Document Published
Variation Order, Revised Recognition Order and Revised Memorandum of Understanding for IIROC 2021-03-25
IIROC Oversight Review Report, 2019 2020-08-05
IIROC Oversight Review Report, 2018 2019-04-18
IIROC Oversight Review Report, 2017
2018-04-26
IIROC Variation Order
2018-04-12
IIROC Recognition Order
2018-04-12

IIROC Oversight Review Report, 2016

2017-07-04
IIROC Oversight Review Report, 2015
2016-03-03
IIROC Oversight Review Report, 2014 2014-12-04
Investment Industry Regulatory Organization of Canada (IIROC) - Exemption Order
2014-04-16
BCN2014/05 Notice of Revocation of Recognition Orders for Investment Dealers Association and Market Regulation Services Inc. [BCN]
2014-04-17
Investment Industry Regulatory Organization of Canada (IIROC) - Exemption Order
2013-04-16
Investment Industry Regulatory Organization of Canada (IIROC) - Exemption Order
2012-05-10
IIROC Oversight Review Report, 2010
2011-10-14
IIROC Oversight Review Report, 2009
2011-04-01
Variation Order
2010-06-03
BCI 22-502 - Registration by the Investment Industry Regulatory Organization of Canada
2009-09-28
IIROC Recognition Order
2008-06-01
IIROC Variation Order - ATS Subscriber Agreement
2008-06-01
Memorandum of Understanding Regarding Oversight of the Investment Industry Regulatory Organization of Canada (IIROC)
2008-05-30

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

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