IIROC republishes proposals to consolidate enforcement rules

November 14, 2013

The Investment Industry Regulatory Organization of Canada today republished revised proposed rules to consolidate certain enforcement and related rules found in the UMIR and Dealer Member Rules. As we published last year, IIROC first released a draft set of rules in March 2012, and the proposed version released today addresses comments from stakeholders to the initial proposals and input from the Canadian Securities Administrators, including in regards to the confidentiality of investigations, standards of conduct and sanctions.

Comments are being accepted by IIROC until February 12, 2014. For more information, see IIROC Notice 13-0275.

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