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Company: Investment Industry Regulatory Organization of Canada

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Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26

Gavel and judgement on desk

Applicant argued that an IIROC panel erred in its findings

Gavel and legal books

FAIR Canada is concerned that the offenders would not be publicly identified

High angle view of mallet eyeglasses legal book in courtroom

IIROC permanently banned the former rep and fined him $450,000 in 2018

stressed senior couple calculating budget at home

IIROC survey shows support for protecting vulnerable clients, while CSA suggests best practices

  • By: IE Staff
  • June 21, 2019 July 22, 2019
  • 12:58
guidelines and regulations binders

They take effect in September

Business meeting concept illustration in an aerial view with people sitting around a conference table

Committee applications due July 5

hand drawing creative business strategy with light bulb as concept

Regulator plans to work with provincial regulators and step up efforts to protect vulnerable investors such as seniors

bitcoin ethereum litecoin concept coins on black

The assets may not fall under the jurisdiction of traditional securities regulators

Silhouttes of Two Business People Having a Handshake

The move is intended to reduce the compliance burden for IIROC firms