11-911 - Recognition Order - Recognition of the Investment Industry Regulatory Organization of Canada

11-911 - Recognition Order - Recognition of the Investment Industry Regulatory Organization of Canada

• Recognition of the Investment Industry Regulatory Organization of Canada

  Effective Date: April 1, 2021.

  Recognizes the Investment Industry Regulatory Organization of Canada self-regulatory organization, subject to certain terms and conditions.

  11_911_gro_april_1_2021.pdf
• Investment Industry Regulatory Organization of Canada (IIROC) Application for Approval of Disbursements from IIROC Externally Restricted Fund - Notice of Approval

  Effective Date: October 27, 2022.

  Pursuant to subsection 21.6(a) of The Securities Act, 1988, SS 1988-89, c. S-42.2 (Saskatchewan) this order allows the Investment Industry Regulatory Organization of Canada (IIROC) limited access to the IIROC Externally Restricted Fund in order to cover certain external advisor costs incurred by IIROC in relation to the creation of the New SRO in accordance with the subparagraph 8(a)(iv) of Appendix A of the IIROC Recognition Order. 

  iiroc_approval_order_october27_2022.pdf