Investor Alert:

CIRO is warning investors about a fraud scheme where fraudsters, linked to a company called TopFirstGroup, falsely claim that IIROC and CIRO require investors to make border fee payments to release funds held at a financial institution under CIRO’s name.

Alert:

MFDA and IIROC websites have been retired.

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COVID-19 and Cybersecurity

This Notice provides information to IIROC Dealer Members on cybersecurity threats arising from the COVID-19 pandemic, and includes some tips to help firms and its employees protect clients’ information and itself. With the COVID-19 pandemic, there...

Date published: 03/30/20

Cybercriminals Currently Exploiting the COVID-19 Pandemic

As Members increasingly rely on technology to facilitate work from home arrangements and remotely service clients, there is an increased risk of cybersecurity events. The confusion and evolving circumstances surrounding COVID-19 has created an...

Date published: 03/19/20

Guidance on COVID-19

The health and safety of all market participants is of paramount importance to IIROC. In response to the risks associated with COVID-19, investment firms are considering the effects of a potential global pandemic on their client service and...

Date published: 03/10/20

Coronavirus disease (COVID-19)

In light of concerns with respect to the coronavirus (COVID-19), we would like to remind Members of their obligations with respect to business continuity planning under MFDA Rule 2.9 (Internal Controls) as well as the guidance set out in MFDA Staff...

Date published: 03/09/20

COVID-19: IIROC Offices

Of paramount importance to IIROC is the wellbeing and safety of our employees and all Canadian market participants. Therefore, as a result of the COVID-19 coronavirus, all IIROC offices are now closed until further notice, with employees working...

Date published: 03/20/20

Descriptions of Charts in Notice 22 – 0063 (Proposed Amendments to the IIROC Rules and to Form 1 regarding the floating index margin rate methodology)

Text description of the figure entitled “TSX 60 Index participation unit (XIU) unit price and floating index margin during COVID outbreak”. Figure 1 is a line graph with two lines. One line shows the price trend of the S&P TSX 60 IPU from Feb to...

Date modified: 02/11/24

Coronavirus disease (COVID-19)

The MFDA is closely monitoring the ongoing outbreak of coronavirus disease 2019 (COVID 19) in order to respond to and minimize impact to the MFDA, MFDA Members and Member clients. Given the circumstances are rapidly evolving, going forward the MFDA...

Date published: 03/13/20

Cybersecurity & Technology

“Active management of cyber risk is critical to the stability of CIRO-regulated firms, the integrity of Canadian capital markets and the protection of investors.” Andrew Krieger, President and CEO, CIRO Cybersecurity Summary Cybersecurity is a key...

Date modified: 09/23/24

COVID-19 and Cybersecurity – Tips for Advisors and Employees

On March 30, we issued a notice to IIROC Dealer Members alerting them to the increased risk of cybersecurity attacks related to the COVID-19 pandemic. Cyber criminals are focusing now on individuals particularly people who are working remotely....

Date published: 04/21/20

Covid-19 Related Exemptive Relief Applications Received and Exemptions Granted to November 30, 2020

On March 26, 2020, the IIROC Board of Directors approved the offering of exemptive relief in a number of areas relating to hardships Dealer Members are experiencing in complying with related IIROC Dealer Member Rules (DMRs) as a result of the their...

Date published: 12/03/20