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ARTICLE · 05 JUNE 2020

Highlights From IIROC's Annual Enforcement Report For 2019

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The Investment Industry Regulatory Organization of Canada ("IIROC") recently published its annual Enforcement Report for 2019 (the "Report"), highlighting its enforcement and discipline activities over the course of 2019.

CanadaCorporate/Commercial Law

The Investment Industry Regulatory Organization of Canada ("IIROC") recently published its annual Enforcement Report for 2019 (the "Report"), highlighting its enforcement and discipline activities over the course of 2019. The Report summarises IIROC's enforcement process, activities, priorities, statistics and also provides illustrative case highlights.

Summary of IIROC Enforcement Related Activities

2019

2018

2017

Investigations completed

104

127

128

Enforcement against individuals

Individuals prosecuted

28

42

37

Individuals suspended

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