IIROC has strengthened enforcement authority in six provinces

Québec

Ontario

Bri�sh Columbia

Manitoba

Alberta

PEI

Complaints

1,163 Received

Inves�ga�ons

127Completed 45% of all cases

40% of cases reviewed

30% of prosecu�ons

Seniors represent...

Sanc�ons on disciplined individuals

$3.1M $3.4M

20162017

91.2%of fines Imposed against firms in 2017

16.2%This is nearly double last year’s collec�onsof fines Imposed against individuals in 2017,

IIROC Collected...

Unsuitable investments represent...

Collect disciplinary fines through courts

Legisla�on pending

Improve presenta�on of evidence at disciplinary hearings

Improve collec�on of evidence during inves�ga�ons

Protec�on from malicious lawsuits