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. Academic. 2012.
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