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Company: Investment Industry Regulatory Organization of Canada

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Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger

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Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says

Compliance Rules Law Regulation Policy Business Technology concept.

Fees, expenses surging ahead of IIROC-MFDA amalgamation

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SRO aims to finalize competency standards by early 2024


The Court of Appeal for British Columbia found that the judge did not err in 2019 ruling

  • By: IE Staff
  • August 25, 2022 August 25, 2022
  • 11:52
40556994 - close up image of stock market data on a computer monitor.

SRO provides guidance on short covering expectations

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Enforcement penalties will be used to help fund the new SRO


Software updates caused various issues undermining market oversight

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An IIROC hearing panel also permanently banned the former Toronto-area rep

  • By: IE Staff
  • July 22, 2022 July 22, 2022
  • 14:43
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SRO committees focus on market regulation, fixed-income trading issues