Investment Industry Regulatory Organization of Canada (IIROC) regulates securities dealers which operate in Canada’s equity and debt markets. It sets regulatory and investment industry standards, holds compliance hearings and has the power to suspend, fine and expel members and registered representatives, such as advisers. IIROC also conducts financial compliance reviews and sets minimum capital requirements to ensure firms have enough capital for the specific nature and volume of their business. It enforces rules regarding trading activity on all equity marketplaces in the country i.e. exchanges and alternative trading systems.


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