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IIROC Oversight Review 2009

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Market Regulation Document Type
IIROC oversight review
April 1, 2011
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    • Industry
      • Registration and compliance
        • Getting registered
        • Ongoing requirements
        • Changes to registration
        • Opportunity to be heard and Director’s decisions
        • Applying for relief
        • Registrant Outreach program
        • Registrant search
        • Registration forms and documents
        • Working with older and vulnerable clients
        • Registered crypto asset trading platforms
      • Innovation at the OSC
        • Securities regulation and fintech companies
        • OSC LaunchPad support for innovative businesses
        • How we’ve helped fintech businesses
        • Modernizing regulation
        • Regulatory partnerships
      • Companies
        • Selling securities in Ontario
        • Continuous disclosure
        • Resources for small and medium enterprises
        • Industry-specific disclosure requirements
        • Information on IFRS
        • Reporting issuer and issuer forms
        • Mergers and acquisitions
        • Issuer related instruments, policies and notices
        • Applying for discretionary relief
      • Investment funds and structured products
        • Types of investment funds
        • Prospectus offerings for investment funds in Ontario
        • Operating an investment fund in Ontario
        • Ongoing disclosure requirements for investment funds in Ontario
        • Marketing and sales of investment funds
        • IFSP eNews
        • Investment fund survey
      • Market regulation
        • Self-regulatory organizations (SRO)
        • Marketplaces
        • Clearing agencies and clearing houses
        • Investor protection funds
        • Information processors
        • Trade repositories
        • Market structure initiatives
      • Derivatives
        • Data reporting requirements for derivatives in Ontario and trade repository designation
        • Legal entity identifiers
    • Securities law
      • Legislation
        • Legislative reviews
      • Instruments, rules and policies
        • 1 - Procedure and Related Matters
        • 2 - Certain Capital Market Participants
        • 3 - Registration Requirements and Related Matters
        • 4 - Distribution Requirements
        • 5 - Ongoing Requirements for Issuers and Insiders
        • 6 - Take-Over Bids and Special Transactions
        • 7 - Securities Transactions Outside the Jurisdiction
        • 8 - Investment Funds
        • 9 - Derivatives
        • Documents not numbered
        • Securities rule-making in Ontario
      • Proposed instruments, rules and policies
      • Orders, rulings and decisions
      • Blanket orders
      • OSC Bulletin
      • Filing documents online
        • Registration forms and documents
        • Reporting issuer and issuer forms
    • Tribunal
    • Investors
      • Investor protection
        • The OBSI Joint Regulators Committee
      • Investor resources
      • Investor research and reports
      • Investor warnings and alerts
      • Check before you invest
      • OSC in the Community
      • Investor Advisory Panel
        • Members of the Investor Advisory Panel
        • Investor Advisory Panel meeting agendas
        • Investor Advisory Panel notices and information
        • Submissions by the Investor Advisory Panel
    • Enforcement
      • Court proceedings
      • OSC sanctions
        • Allocation and use of funds from sanctions and settlements
        • Individuals or companies with unpaid OSC sanctions
      • Cease trade and freeze orders
      • Mediation program
      • OSC Whistleblower Program
        • Award eligibility and process
        • Whistleblower protections
        • Submit a whistleblower report
      • Investigation resources
      • OSC QuadrigaCX report
        • QuadrigaCX investigative report
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      • Reports and publications
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      • Subscribe
      • COVID-19 updates
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        • Board committees
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        • OSC Statement of Priorities
        • OSC Business Plan
        • OSC Service Commitment
        • Expense disclosure
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        • Domestic engagement
        • International engagement
        • Visits from foreign delegations
      • Careers at the OSC
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        • Applying for a job with the OSC
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        • Accessing OSC records
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