Home Investment Industry Regulatory Organization of Canada
gavel with $100-bill background

Advisor did not comply with the dealer’s own guidelines for leveraged ETFs

Stacked white books on rules and regulations

Regulator reports that it received 324 proficiency exemption applications last year

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The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having an impact

business people standing in line under a magnifying glass

An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed

The two clients are affiliates of the investment dealer

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

Fraudsters are misrepresenting themselves as IIROC-regulated investment dealers

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The self-regulatory organization expects firms to rebate the portion of a mutual fund’s trailing commission that is related to advice

hacker programing in technology enviroment with cyber icons and symbols

Information sharing is essential for mitigating cyber threats to investment delears

cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background

While IIROC works on amendments, it asks dealers to voluntarily report cybersecurity incidents

  • March 26, 2018 March 26, 2018
  • 11:15
Manitoba Legislative Building in Winnipeg, Manitoba, Canada

Quebec, Ontario, Alberta and PEI have already provided authority to IIROC to enhance its collection abilities

  • By: IE Staff
  • March 19, 2018 March 19, 2018
  • 15:45