| 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; French: Organisme canadien de réglementation du commerce des valeurs mobilières, or OCRCVM) 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]
- ^ a b "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.