IIROC
Grade B
Investment Industry Regulatory Organization · Canada · Official register
License facts
What it takes to hold this license, from the TrustFinance regulator database.
TrustFinance grade
of A to D
Companies on record
1
holding this license
Requirements to get licensed
License requires
- An applicant must have minimum capital of $250,000
- (unless applying as a Type 1 Introducing Broker for which the minimum capital is $75,000)
- The applicant's auditors must be selected from IIROC’s approved panel
- Required to have a Financial Institution Bond and Mail Insurance
- Required to establish and maintain adequate internal controls
- Executives who meet guidelines
- Directors who meet the criteria
Documents require
- required to have a system of books and records
- (accounting, trading and business conduct records, data entry and output systems)
- A five-year business plan
About this regulator
The Investment Industry Regulatory Organization of Canada is the pan‑Canadian self‑regulatory organization that oversees all investment dealers and trading activity on Canada’s debt and equity marketplaces. IIROC is committed to protecting investors, protecting market integrity, and building Canadians’ trust in financial regulation and the people managing their investments.
Companies holding this license
1 companies on record. Each links to its verification page.
