Committed to transparency- IIROC issues annual Exemption Report

TORONTO, May 22, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today released its third annual Exemption Report outlining exemptions granted to members from certain Dealer Member and Universal Market Integrity (UMIR) rules over the course of 2013.

"The publication of our annual Exemption Report underscores our ongoing commitment to transparency to our stakeholders," said Paul Riccardi, IIROC's Senior Vice President, Member Regulation.  

The report provides a detailed summary outlining why certain types of exemptions were granted or refused. The full publication can be accessed at:

This annual report complements a range of other documents published by IIROC that provide details of its operational and regulatory activities, including IIROC's Annual Compliance Report, Enforcement Report, Annual Report and Strategic Plan.  Each of these documents can be accessed on IIROC's website at


IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.  Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets. 

IIROC carries out its regulatory responsibilities by creating and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through the creation and enforcement of market integrity rules regarding trading activity on Canadian marketplaces.


SOURCE: Investment Industry Regulatory Organization of Canada (IIROC) - General News

For further information: please contact: June Yee, Manager, Corporate Communications, 416-943-6921,; Karen Archer, Senior Media and Public Affairs Specialist, 416-865-3046,



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