Investment Industry Regulatory Organization of Canada (IIROC)


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

Visit the Investment Industry Regulatory Organization of Canada (IIROC)  icon_new_window.gif website for the guide to IIROC Categories and Proficiency Requirements and the complete IIROC Rule Book.

 Document Published Format
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
Recognition Order 2008-06-01
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

IIROC was formed following the combination of the Market Regulation Services (RS) and Investment Dealers Association (IDA).

Market Regulation Services

 Document Published Format
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 Format
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 ---