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Enforcement Priorities

 

Enforcement’s current legal authority and protections


IIROC has made significant progress in the following jurisdictions to strengthen investor protection:

  • Authority to collect fines
  • Collect and present evidence
  • Statutory immunity
Enforcement’s current legal authority and protections
Province / Territory Date / Legal authority
Yukon November 2018: collect fines and collect/present evidence
Northwest Territories November 2018: collect fines and collect/present evidence
Nunavut November 2018: collect fines and collect/present evidence
British Columbia May 2018: collect fines
Alberta June 2000: collect fines
June 2017: collect/present evidence and statutory immunity
Saskatchewan May 2019: collect fines
Manitoba June 2018: collect fines and statutory immunity
Ontario May 2017: collect fines
Quebec June 2013: collect fines
June 2018: collect/present evidence and statutory immunity
Nova Scotia October 2018: collect fines, collect/present evidence and statutory immunity
Prince Edward Island January 2017: collect fines
December 2018: collect/present evidence and statutory immunity