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Company: Investment Industry Regulatory Organization of Canada

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Shocked middle aged mature woman feeling stressed reading unbelievable online news, surprised senior old lady looking at laptop amazed by unexpected stuck computer problem sit on sofa at home (Shocked middle aged mature woman feeling stressed reading

The proposal would allow for disgorged funds to be paid out to victims of industry misconduct


Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban


Dorothy Sanford, former head of MFDA IPC, heads new investor group

Female tax inspector looking at corporate financial documents with magnifying glass

Fines levied against reps last year soared to $7.9 million from $938,000 in 2021

Grand opening, cutting red ribbon

The new agency's leadership is dominated by former IIROC personnel


Fees charged to certain accounts didn't match fee agreements

  • By: IE Staff
  • December 22, 2022 December 22, 2022
  • 17:26
Concept of entering 2023 with uncertainty

The Canadian regulatory landscape will be fundamentally altered in 2023

Trading screen financial data in red. Selective focus.

CSA and IIROC consider possible reforms amid persistent but unsupported negative perceptions about short-selling


Firm agreed to $100,000 sanction, admitted oversight violations

Business People Meeting Discussion in a boardroom concept

Proposals include increasing the limit on claims and publishing arbitration decisions