Infographic: IIROC oversees 28,831 approved persons and 179 member firms.


Infographic: IIROC completed 128 enforcement investigations, 59 disciplinary and settlement hearings of 49 individuals and 10 firms. IIROC issued 26 suspensions and 7 permanent bans.


Infographic: IIROC responded to 2,473 inquiries and complaints related to member conduct and 1,029 trading-related inquiries and complaints from investors.


Infographic: IIROC coordinated 1,470 trading halts and 83 cease trade orders.


Infographic: IIROC triggered 53 single stock circuit breakers.


Infographic: IIROC monitored 446,844,673 trades on 5 stock exchanges and eight equity alternative trading systems (excluding Bloomberg Tradebook Canada) and 3,584,951 debt security transactions. IIROC relayed 775,432 repurchase and reverse repurchase (“repo”) transactions to the Bank of Canada.


Infographic: IIROC conducted 261 on-site business conduct, financial and operations and trading conduct compliance firm reviews. In addition, IIROC staff conducted twelve integrated on-site compliance firm reviews.


Infographic: IIROC intervened by varying or cancelling 35 times affecting 1,946 transactions.


Infographic: IIROC provided 19 new educational webcasts and 16,135 total views of all existing webcasts. IIROC hosted 7 live events with 1,013 industry participants.


Infographic: IIROC’s Annual Compliance Conferences had more than 375 staff from IIROC-regulated firms attending in Toronto with another 102 joining us in Montreal and 140 in Vancouver.


Infographic: IIROC assessed $3,314,000 in discipline penalties against individuals and $770,000 in discipline penalties against firms. These numbers exclude fines, disgorgements, and investigation costs.


Infographic: In respect of fines assessed during the same time, IIROC collected $447,601 of discipline penalties against individuals, representing 14% of fines assessed, and $570,000 of discipline penalties against firms representing 74% of fines assessed. These numbers exclude fines, disgorgements, and investigation costs.


Infographic: IIROC published 4 member policy rule proposals, 5 market policy rule proposals, 6 member policy rule amendments, and 2 market policy rule amendments.


Infographic: IIROC generated 55,487 reports on advisors based on requests from IIROC website users.