Notice of Request for Comment – Proposed Provisions Respecting Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

IIROC is publishing for public comment, proposed amendments to the Universal Market Integrity Rules respecting trading supervision obligations.

The proposed amendments would remove the prescriptive provisions in the current trading supervision structure and replace them with a more flexible, principles-based approach to trading compliance and supervision.

A copy of the IIROC Notice, including the proposed amendments, is published on our website at The comment period ends on March 22, 2017.

IIROC has published a Guidance Notice for comment concurrently with the proposed amendments.