Investment Industry Regulatory Organization of Canada

IIROC operates under Recognition Orders from the CSA as the national self-regulatory organization for firms that are registered as investment dealers in Canada. In addition, it oversees all trading activity on debt and equity marketplaces in Canada.

IIROC carries out its regulatory responsibilities through setting and enforcing:

rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees, and
market place integrity rules regarding trading activity on Canadian equity marketplaces

IIROC nominates a director to the CIPF Board.