About: Investment Industry Regulatory Organization of Canada     Goto   Sponge   NotDistinct   Permalink

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The Investment Industry Regulatory Organization of Canada (IIROC; Organisme canadien de réglementation du commerce des valeurs mobilières or OCRCVM in French) is a non-profit, national self-regulatory organization (SRO). Established through the merger of the Investment Dealers Association of Canada (IDA) and (RS) on June 1, 2008, IIROC oversees all investment dealers and trading activity on debt and equity markets in Canada.

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rdfs:label
  • Investment Industry Regulatory Organization of Canada (en)
rdfs:comment
  • The Investment Industry Regulatory Organization of Canada (IIROC; Organisme canadien de réglementation du commerce des valeurs mobilières or OCRCVM in French) is a non-profit, national self-regulatory organization (SRO). Established through the merger of the Investment Dealers Association of Canada (IDA) and (RS) on June 1, 2008, IIROC oversees all investment dealers and trading activity on debt and equity markets in Canada. (en)
foaf:name
  • Investment Industry Regulatory Organization of Canada (en)
foaf:homepage
name
  • Investment Industry Regulatory Organization of Canada (en)
foaf:depiction
  • http://commons.wikimedia.org/wiki/Special:FilePath/Investment_Industry_Regulatory_Organization_of_Canada_Logo.jpg
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abbreviation
  • IIROC/OCRCVM (en)
budget
  • C$101.237M (en)
formation
headquarters
  • Suite 2000, 121 King Street West, Toronto, Ontario, Canada (en)
language
leader name
  • Andrew J. Kriegler (en)
  • Paul D. Allison (en)
leader title
  • Chair (en)
  • CEO, President (en)
logo
  • Investment Industry Regulatory Organization of Canada Logo.jpg (en)
logo size
native name
  • L’Organisme canadien de réglementation du commerce des valeurs mobilières (en)
purpose
  • Monitors members for securities law compliance; enforces securities regulations through quasi-judicial proceedings (en)
region served
status
  • active (en)
type
  • Organizations based in Canada (en)
website
has abstract
  • The Investment Industry Regulatory Organization of Canada (IIROC; Organisme canadien de réglementation du commerce des valeurs mobilières or OCRCVM in French) is a non-profit, national self-regulatory organization (SRO). Established through the merger of the Investment Dealers Association of Canada (IDA) and (RS) on June 1, 2008, IIROC oversees all investment dealers and trading activity on debt and equity markets in Canada. The organization sets regulatory and investment industry standards and has quasi-judicial powers in that it holds enforcement hearings and has the power to suspend, fine and expel members and registered representatives, such as advisors. However, it has often been criticized by investor advocates as ineffective. (en)
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