A self-regulatory organization is an entity which monitors or supervises the conduct of its members. The oversight exercised by a self-regulatory organization includes the development of rules, compliance control in respect of the rules and member discipline.

The AMF may delegate to a recognized organization the exercise of functions and powers conferred on it by law. The AMF currently delegates functions and powers to the Investment Industry Regulatory Organization of Canada (IIROC).

Note:

This section lists current decisions pertaining to recognitions in respect of entities acting as self-regulatory organizations as well as amendments to, or the application of, such decisions. All other decisions are available in the AMF Bulletin.

This section also lists oversight plans and oversight review reports pertaining to self-regulatory organizations recognized by the Autorité des marchés financiers.

* Please note that most of the following documents are available in French only.

Bourse de Montréal Inc.

Chambre de la sécurité financière (CSF)

Oversight review report

Investment Industry Regulatory Organization of Canada (IIROC)

IIROC

Revision of recognition order No. 2008-PDG-0126 of the Investment Industry Regulatory Organization of Canada as a self-regulatory organization — (Decision No. 2018-PDG-0027 (pdf - 70 KB)This link will open in a new window dated 2018-04-10, Bulletin 2018-04-12, Vol. 15, No. 14)

Recognition of Investment Industry Regulatory Organization of Canada as a self-regulatory organization — (Decision No. 2008-PDG-0126 (pdf - 80 KB)This link will open in a new window dated 2008-05-02, Bulletin 2008-05-30, Vol. 5, No. 21)

Recognition of IIROC as an Information Processor for Corporate Debt — Decision No. 2016-PDG-0098 (pdf - 511 KB)This link will open in a new window  dated 2016-06-22, Bulletin 2016-06-23, Vol. 13, No. 25)

Oversight review reports 

Memorandum of understanding