Canada Savings Bonds, Investment Strategies, and Financial Tips » financial regulatory organization http://www.mycsbstory.ca Mon, 18 Oct 2010 14:43:02 +0000 http://wordpress.org/?v=2.8.4 en hourly 1 The Investment Industry Regulatory Organization of Canada http://www.mycsbstory.ca/rules-and-regulations/the-investment-industry-regulatory-organization-of-canada http://www.mycsbstory.ca/rules-and-regulations/the-investment-industry-regulatory-organization-of-canada#comments Fri, 20 Feb 2009 10:11:41 +0000 admin http://www.mycsbstory.ca/?p=50 investment industry regularoty organization of canada logo

The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.  Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.  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 through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.

Mandate

We set and enforce high quality regulatory and investment industry standards, protect investors and strengthen market integrity while maintaining efficient and competitive capital markets.

Vision

We will be known for our integrity, our transparency and our fair and balanced solutions. We aim for excellence and regulatory best practices. Our actions are driven by sound, intelligent deliberation and consultation.

IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.  Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.  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 through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.

Our HistoryIIROC was established on June 1, 2008 from the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS).

Milestones

April 26, 2006
The Boards of Directors of the IDA and RS announced that they had approved in principle a proposal to create a new self-regulatory organization to succeed the IDA and RS.

December 17, 2007
Member firms of the IDA approved (with 98.3% of votes cast) a resolution approving the combination of the IDA with RS into a new self-regulatory organization. Please see Information Circular.

March 17, 2008
IIROC was incorporated as a non-profit, without share capital corporation

May 2008
The Canadian Securities Administrators approved the Application of IIROC

Our History

Investment Dealers Association of Canada

The IDA was formed in 1916 when a group of Toronto bond dealers created the Bond Dealers Section of the Toronto Board of Trade. Over the years, the IDA evolved into a decentralized national self-regulatory organization with a dual regulatory and trade association mandate. Its work was carried out through an extensive structure of national and regional committees representing a diversity of business and geographic perspectives. Starting in the 1990s, provincial regulators recognized the IDA as a self-regulatory organization for full service investment dealers and their registered employees; securities legislation was introduced to require membership in a self-regulatory organization, which had previously been voluntary, to be mandatory for any firm wishing to operate as a full service securities dealer in Canada ; and the trade association role was eliminated in 2006, with the creation of a separate and independent trade association.
Market Regulation Services Inc.

Launched on March 1, 2002, RS was created as a joint initiative of TSX Group and the Investment Dealers Association of Canada (IDA).  RS amalgamated the in-house surveillance, trade desk compliance, investigation and enforcement functions of the TSX and TSX Venture Exchanges to produce a new single, neutral entity to monitor and enforce trading rules without preference to one marketplace over another.
Contact:
Montréal
5 Place Ville Marie, Suite 1550
Montréal , Quebec , H3B 2G2
Tel: (514) 878-2854 Fax: (514) 878-3860
Enforcement Matters Only: Fax (514) 878-6324Toronto
Suite 1600, 121 King Street West
Toronto , Ontario , M5H 3T9
Tel: (416) 364-6133 Fax: (416) 364-0753
Enforcement Matters Only: Fax (416) 364-2998

Suite 900, 145 King St. West
Toronto, ON , M5H 1J8
Tel: (416) 646-7200
Toll free: 1-866-214-7200
Fax: (416) 646-7265

Calgary
Suite 2300, 355 Fourth Avenue S.W.
Calgary , Alberta , T2P 0J1
Tel: (403) 262-6393 Fax: (403) 265-4603
Enforcement Matters Only: Fax (403) 234-0861

Vancouver
Suite 2800 – Royal Centre
1055 West Georgia Street
P.O. Box 11164
Vancouver , British Columbia , V6E 3R5
Tel: (604) 683-6222 Fax: (604) 683-3491
Enforcement Matters Only: Fax (604) 683-6262
P.O. Box 11580

Suite 2600, 650 West Georgia St.
Vancouver, B.C. , V6B 4N8
Tel: (604) 602-6962
Fax: (604) 682-8514

Investors wishing to inquire about making a complaint may call our toll-free complaints line at 1-877-442-4322 or visit our section on Filing a Complaint.

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