The Investment Industry Regulatory Organization of Canada (IIROC) is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. IIROC sets high-quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.
IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces. To fulfill our mandate as a national self-regulatory organization, we must act with integrity, transparency and fairness.
All Advisors at Novak Private Wealth Counsel are registered under IIROC. To verify your advisor is registered click here to visit the 'Canadian Securities Administrators' website, click individual, and enter advisors last name.
For more information on IIROC visit www.iiroc.ca