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).

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.

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 windowUpdated on 11 April 2018Révision de la décision de reconnaissance à titre d’organisme d’autoréglementation n? 2008 PDG 0126 prononcée le 2 mai 2012 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 windowUpdated on 30 March 2016reconnaissance, OAR, organisme d’autoréglementation, OCRCVM, ACCOVAM, RS, Association canadienne des courtiers en valeurs mobilières, Services de réglementation du marché inc., Organisme canadien de réglementation du commerce des valeurs mobilières dated 2008-05-02, Bulletin 2008-05-30, Vol. 5, No. 21)

  • Delegation of functions and powers to the IIROC — Décision 2009-PDG-0100 (pdf - 133 KB)This link will open in a new windowUpdated on 30 March 2016reconnaissance, OAR, organisme d’autoréglementation, OCRCVM, ACCOVAM, RS, Association canadienne des courtiers en valeurs mobilières, Services de réglementation du marché inc., Organisme canadien de réglementation du commerce des valeurs mobilières, délégation dated 2009-08-19, Bulletin 2009-09-25 Vol.6 no. 38) (Bilingual version)

  • Sub-delegation of functions and powers to the IIROC — Décision 2009-PDG-0136 (pdf - 45 KB)This link will open in a new windowUpdated on 30 March 2016reconnaissance, OAR, organisme d’autoréglementation, OCRCVM, ACCOVAM, RS, Association canadienne des courtiers en valeurs mobilières, Services de réglementation du marché inc., Organisme canadien de réglementation du commerce des valeurs mobilières, sous-délégation, délégation dated 2009-09-25, Bulletin 2009-09-25 Vol.6 no. 38)

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 windowUpdated on 28 September 2016Organisme canadien de réglementation du commerce des valeurs mobilières - OCRCVM - Approbation changement important - Agence de traitement de l'information - Engagements - 21-101F5  dated 2016-06-22, Bulletin 2016-06-23, Vol. 13, No. 25)

Oversight review reports 

Memorandum of understanding