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Company: Investment Industry Regulatory Organization of Canada

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Closeup of mallet being hit on stacked coins at table in courtroom

Firm failed to question sales on risky exempt securities to certain clients

Partners discussing new plans

An IIROC survey reveals gaps in current and aspiring investors' views on regulation

Bitcoin Electronic Crypto Currency Exchange Concept Illustration

Regulators set out when trading platforms are subject to securities law

Businessman analysis the stockmarket on labtop Stock Market Investment Online

The group first proposed adopting UTC to enhance market oversight back in September

Business lawyer team. Working together of lawyer in the meeting.

IIROC says the advisor failed to learn “essential facts” about a client

Compliance Rules Law Regulation Policy Business Technology concept.

The guidance overhaul follows a plain-language rulebook rewrite

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The court found a suit involving a 2009 disciplinary action came too late

Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Investor protection and industry innovation highlight the SRO's compliance priorities

IIROC’s late-filing fee for CE credits takes effect Jan. 1

business team corporate organization working concept

Engaging with regulators is an important part of ensuring new rules are implemented effectively

  • By: Ian Russell
  • December 18, 2019 December 18, 2019
  • 16:13