IIROC - Investment Industry Regulator of Canada

Enforcement

IIROC enforces rules on the proficiency, sales, business and financial conduct of all Canadian dealer firms and their registered employees. It also enforces market integrity rules regarding trading activity on all equity marketplaces in the country. Effective enforcement helps to enhance investor confidence in the financial services industry.

Access a calendar of upcoming IIROC enforcement panel hearings.

Access the 2012 Annual Enforcement Report.

WHAT'S NEW - Recent Announcements

Release Date	Title
5/21/2013	In the Matter of John Winston Lang – Settlement Hearing
5/17/2013	In the Matter of Roger Michael Biduk – Penalty Hearing	Related Documents
5/17/2013	In the Matter of Shelley Blanchard – Discipline decision – Liability and Penalty	Related Documents
5/15/2013	In the Matter of Robert Jay Kilgannon – Settlement Hearing
5/14/2013	In the Matter of Lawrence Bradley Chang – Discipline Hearing	Related Documents
5/10/2013	In the Matter of Glenn Arthur Taggart – Settlement Accepted	Related Documents
5/8/2013	In the Matter of Roger Michael Biduk – Discipline decision – Liability	Related Documents
5/3/2013	In the Matter of Rajiv Puri – Appearance to set a hearing date	Related Documents
5/2/2013	In th Matter of Guy François Brunet – Settlement Hearing
5/2/2013	In the Matter of Guylaine Raby – Settlement Hearing

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Visit News & Publications to search Notices and view by type.

How to search enforcement records

Search Disciplinary Cases: Use our database to search by individuals (including current and formerly registered advisors) and firms.
Use the IIROC AdvisorReport service to run a report on backgrounds of currently registered advisors which includes any disciplinary history.
Can't find it? Questions? Call us at 1.877.442.4322.

Enforcement

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