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ARTICLE · 18 JUNE 2019

IIROC Releases Its Annual Enforcement Report For 2018

McCarthy Tétrault
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Earlier this month, the Investment Industry Regulatory Organization of Canada ("IIROC") published its annual Enforcement Report for 2018 (the "Report"),

CanadaFinance and Banking
Canadian Securities Regulatory Monitor
Canadian Securities Regulatory Monitor
Cristian Blidariu
Cristian Blidariu
Shane D'Souza
Shane D'Souza
Andrew Matheson
Andrew Matheson
Sean Sadler
Sean Sadler
Rene Sorell
Rene Sorell
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Earlier this month, the Investment Industry Regulatory Organization of Canada ("IIROC") published its annual Enforcement Report for 2018 (the "Report"), highlighting its enforcement/discipline activities over the course of 2018. The Report summarises IIROC's enforcement process, activities, priorities, statistics and also provides illustrative case highlights.

Summary of IIROC Enforcement Related Activities

In 2018, IIROC:

  • completed 127 investigations (same in 2017);
  • prosecuted 42 individuals and 10 firms (compared to 37 individuals and 7 firms in 2017);
  • suspended 21 individuals (compared to 16 in 2017) and permanently barred 5 individuals (same in 2017) from working at an IIROC-regulated firm in a registered capacity;

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