IIROC’s Submission To The Ontario Government’s Consultation On Financial Advisory And Financial Planning Policy Alternatives​ ​

Introduction

IIROC is a national public interest self-regulatory organization, with offices in Toronto, Montreal, Calgary and Vancouver, overseeing all investment dealers and trading activity on debt and equity markets across Canada. Our jurisdiction extends to approximately 180 investment dealers and their roughly 28,000 individual registrants - almost 14,000 of whom are in Ontario. Our employees are on the front lines, setting and enforcing rules regarding the proficiency, business and financial conduct of IIROC-regulated firms and their registered employees. 

Click here to download IIROC's response.