Investment Industry Regulatory Organization of Canada

The Investment Industry Regulatory Organization of Canada (IIROC) is a self-regulatory body that oversees investment firms and financial advisors in Canada. It sets and enforces rules to ensure these professionals operate ethically, fairly, and competently, protecting investors and maintaining trust in the financial markets. IIROC also monitors firms for compliance, investigates misconduct, and takes disciplinary actions when necessary. Essentially, it functions as a watchdog to promote transparency, integrity, and stability within Canada’s investment industry.