IIROC to consolidate enforcement rules

March 27, 2012

On March 23, the Investment Industry Regulatory Organization of Canada (IIROC) released a set of proposed rules intended to consolidate and rationalize enforcement-related rules currently contained in the Dealer Member Rules and UMIR. Specifically, the proposed rules include those respecting investigations, disciplinary hearings, compliance and registration. Consequential amendments to UMIR would also be made.

IIROC is accepting comments on the proposals until June 21, 2012. For more information, see IIROC Notice 12-0104.

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