Investment Industry Regulatory Organization of Canada - IIROC


Investment Industry Regulatory Organization of Canada - IIROC
The governing authority for all debt and equity markets, investments and investment brokers, dealers and providers in Canada. The Investment Industry Regulatory Organization of Canada (IIROC) is a self-regulatory organization, similar to the Financial Industry Regulatory Authority (FINRA) in the U.S. Its objective is to maintain fair and orderly markets and regulate all securities-related commerce within the country.

IIROC has the power to set and enforce laws in the Canadian securities and trading markets. It can levy fines, suspensions and other disciplinary action against delinquent firms, brokers and advisors. IIROC also regulates all investment-related sales activity by brokers, agents and planners.


Investment dictionary. . 2012.

Look at other dictionaries:

  • Self-Regulatory Organization - SRO — A non governmental organization that has the power to create and enforce industry regulations and standards. The priority is to protect investors through the establishment of rules that promote ethics and equality. Some examples of SROs include… …   Investment dictionary

  • cañada — /keuhn yah deuh, yad euh/, n. Chiefly Western U.S. 1. a dry riverbed. 2. a small, deep canyon. [1840 50; < Sp, equiv. to cañ(a) CANE + ada n. suffix] * * * Canada Introduction Canada Background: A land of vast distances and rich natural resources …   Universalium

  • Canada — /kan euh deuh/, n. a nation in N North America: a member of the Commonwealth of Nations. 29,123,194; 3,690,410 sq. mi. (9,558,160 sq. km). Cap.: Ottawa. * * * Canada Introduction Canada Background: A land of vast distances and rich natural… …   Universalium

  • Regulatory capture — In economics, regulatory capture occurs when a state regulatory agency created to act in the public interest instead advances the commercial or special interests that dominate the industry or sector it is charged with regulating. Regulatory… …   Wikipedia

  • Regulatory compliance — Compliance (regulation) redirects here. For other uses, see Compliance (disambiguation). In general, compliance means conforming to a rule, such as a specification, policy, standard or law. Regulatory compliance describes the goal that… …   Wikipedia

  • International Organization of Securities Commissions — The International Organization of Securities Commissions (IOSCO) is an international organization that brings together the regulators of the world’s securities and futures markets. It, along with its sister organizations, the Basel Committee on… …   Wikipedia

  • Transport Canada — Departments of the Government of Canada Transport Transports …   Wikipedia

  • Business and Industry Review — ▪ 1999 Introduction Overview        Annual Average Rates of Growth of Manufacturing Output, 1980 97, Table Pattern of Output, 1994 97, Table Index Numbers of Production, Employment, and Productivity in Manufacturing Industries, Table (For Annual… …   Universalium

  • Telecommunications industry in the People's Republic of China — This article discusses the telecommunications industry in mainland China. For Hong Kong and Macau, see Communications in Hong Kong and Communications in Macau. The telecommunications industry in China is dominated by three state run businesses:… …   Wikipedia

  • Telecommunications industry in China — This article discusses the telecommunications industry in mainland China. For Hong Kong and Macau, see Communications in Hong Kong and Communications in Macau. For Taiwan (Republic of China), see Communications in the Republic of China. The… …   Wikipedia

  • Diffusion of technology in Canada — This article outlines the history of the diffusion or spread of technology in Canada. Technologies chosen for treatment here include, in rough order, transportation, communication, energy, materials, industry, public works, public services… …   Wikipedia


Share the article and excerpts

Direct link
Do a right-click on the link above
and select “Copy Link”

We are using cookies for the best presentation of our site. Continuing to use this site, you agree with this.