Who are members of IIROC?
List of IIROC Dealer Members by Peer Group.
Is IIROC self regulated?
IIROC is a pan-Canadian self-regulatory organization that is responsible for the oversight of Canada’s 175 investment dealers and their trading activities on debt and equity marketplaces.
What is IIROC licensing?
Investment Industry Regulatory Organization of Canada (IIROC): IIROC is the regulatory body for all securities firms in Canada. It sets the proficiency requirements for individuals who sell securities such as stocks, bonds, mutual funds, options and/or futures.
How do you become a member of IIROC?
In order to apply to IIROC, an individual must be sponsored by an IIROC-regulated Dealer Member. Dealer Members are encouraged to conduct due diligence on applicants, including by requesting a copy of their registration file from IIROC.
Who is the principal regulator for IIROC?
the provincial securities commission
While IIROC regulates the trading activity of public companies that trade on Canada’s marketplaces, the public companies are regulated by the provincial securities commission that has been designated as their principal regulator (see SEDAR).
Can IIROC advisors incorporated?
However, he also hoped the playing field for those governed by the two existing organizations would be levelled for both licensing requirements and incorporation, given that IIROC advisors are not allowed to incorporate while MFDA advisors are.
How do I get licensed with IIROC?
What does the IIROC do?
Welcome to IIROC The Investment Industry Regulatory Organization of Canada is the pan‑Canadian self‑regulatory organization that oversees all investment dealers and trading activity on Canada’s debt and equity marketplaces.
Who regulates IIROC?
IIROC oversees the registration of firms and individuals who provide advice and conduct securities trading in Canada. These firms must register as Dealer Members. In addition, any Canadian marketplace for equity and debt trading activity must also become a Marketplace Member.